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By Cadwalader, Wickersham & Taft LLP
The SEC made a correction to Form ATS-N, a form relating to disclosure requirements for alternative trading systems that trade in National Market System stocks ("ATSs").
By Cadwalader, Wickersham & Taft LLP
The Security Traders Association ("STA") offered support for, and additional recommendations on, FINRA's proposal to amend its Continuing Education program.
By Nihal Patel
The CFTC final rule amending the definition of "swap dealer" was published in the Federal Register. The rule is effective as of November 13, 2018.
By Kyle DeYoung
A broker-dealer agreed to settle FINRA charges for failure to identify and apply mutual fund sales charge waivers to eligible retirement accounts and charitable organizations.
By Steven Lofchie
A broker-dealer agreed to pay $215,000 to settle FINRA charges for failing to comply with close-out obligations in connection with delivery fails resulting from sales of equity securities, as requ
By Cadwalader, Wickersham & Taft LLP
SEC Commissioner Hester M. Peirce called on the SEC to consider alternative methods when addressing compliance infractions rather than resorting to enforcement proceedings.
By Cadwalader, Wickersham & Taft LLP
SEC Permits Brazilian Company To Conform Audit Committees To Home Country Law.
By Cadwalader, Wickersham & Taft LLP
The extensions are in effect until 12:01 a.m. Eastern Standard time January 7, 2019.
By Cadwalader, Wickersham & Taft LLP
A broker-dealer agreed to pay $50,000 to settle FINRA charges that it failed to "establish, document, and maintain" a system of adequate risk management controls and supervisory...
By Cadwalader, Wickersham & Taft LLP
A German-based bank agreed to pay $12 million to settle CFTC charges for failing to sufficiently supervise swap dealer ("SD") activities.
By Robert Zwirb
This case illustrates that the misconduct involved in spoofing may also provide the basis for a charge of price manipulation.
By Jodi Avergun
In 2009 and 2012, MoneyGram settled separate actions against it by the FTC and DOJ, respectively.
By Mark Chorazak
The FRB's report is a worthy read, offering transparency on several fronts.
By Cadwalader, Wickersham & Taft LLP
Mr. Quarles stated that elements of the proposal to integrate stress testing with the stress capital buffer will be amended after receiving public comment.
By Steven Lofchie
The OCIE is interested in how the operation of these funds may impact retail investors.
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