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By Cadwalader, Wickersham & Taft LLP
NFA proposed reducing the fees on Forex Dealer Members ("FDM") under the Forex Transaction Reporting Execution Surveillance System ("FORTRESS").
By Cadwalader, Wickersham & Taft LLP
NFA reminded any person with an exclusion/exemption from CPO or CTA registration to affirm the related notice of exemption by February 29, 2020.
By Cadwalader, Wickersham & Taft LLP
A municipal securities dealer settled FINRA charges for providing inaccurate information in the issue price certificates of 22 municipal offerings.
By Cadwalader, Wickersham & Taft LLP
The SEC charged an entity and several associated individuals with misleading 100 investors - most of whom were seniors - resulting in $4.9 million in losses.
By Cadwalader, Wickersham & Taft LLP
The SEC named Kristina Littman as the agency's new Division of Enforcement Cyber Unit Chief. Ms. Littman will succeed the former Unit Chief, Robert Cohen .
By Cadwalader, Wickersham & Taft LLP
The CFTC created two subcommittees under the Market Risk Advisory Committee ("MRAC"): the (i) Central Counterparty ("CCP") Risk and Governance Subcommittee and (ii) the Market Structure Subcommittee.
By Cadwalader, Wickersham & Taft LLP
A general securities representative settled FINRA charges for exercising discretion in customers' accounts without receiving prior written authorization in violation of FINRA Rule 2010 and NASD Rule 2510(b)
By Cadwalader, Wickersham & Taft LLP
The CFPB proposed extending an exemption that allows insured institutions to disclose estimates to consumers of the exchange rate and covered third-party
By Christian Larson
The DOJ charged a U.S. citizen with violating the International Emergency Economic Powers Act ("IEEPA") for traveling to the Democratic People's Republic of Korea
By Cadwalader, Wickersham & Taft LLP
In a joint statement, the Federal Reserve Board, CFPB, FDIC, National Credit Union Administration and the OCC (collectively, the "agencies")
By Cadwalader, Wickersham & Taft LLP
An MSRB proposal to amend the content outline for the Series 54 examination and selection specification was published in the Federal Register.
By Cadwalader, Wickersham & Taft LLP
A company and several associates settled CFTC charges for failing to register as commodity trading advisors ("CTAs") while offering foreign currency transactions to retail customers.
By Cadwalader, Wickersham & Taft LLP
The Federal Reserve Bank of New York (the "NY Fed"), in cooperation with the Treasury Office of Financial Research, proposed publishing daily compounded averages of the Secured Overnight
By Mark Howe
The IRS issued final regulations removing "Section 385 regulations" regarding specified documentation requirements. Section 385 provisions deal with the classification of related-party debt
By Lex Urban
In the Southern District of New York, the SEC filed an Amended Complaint against a CEO and his online auction portal to include allegations that the CEO
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