Contributor Page
Cadwalader, Wickersham & Taft LLP
 
Email  |  Website  |  Articles
Contact Details
Tel: +1 212 5046000
Fax: +1 212 5046666
200 Liberty Street New York
New York
NY 10281
United States
Awards
Contributor Most Read
Contributor Most Read
Contributor Most Read
Contributor Most Read
Contributor Most Read
By Cadwalader, Wickersham & Taft LLP
The Board of Governors of the Federal Reserve System ("FRB") approved a final rule to implement single-counterparty credit limits for U.S. bank holding companies and foreign banking organizations operating in the United States with $250 billion or more in total global consolidated assets.
By Christian Larson
SEC Division of Corporation Finance Director William Hinman asserted that Bitcoin and Ether are not "securities" under U.S. law.
By Kyle DeYoung
The U.S. House Financial Services Subcommittee on Capital Markets, Securities and Investment considered testimony on the SEC's approach to enforcing federal securities laws.
By Cadwalader, Wickersham & Taft LLP
In testimony before the House Financial Services Committee, Comptroller of the Currency Joseph Otting detailed key credit, interest rate, operational and compliance risks faced ...
By Cadwalader, Wickersham & Taft LLP
On June 11, 2018, the U.S. District Court for the Southern District of New York ("S.D.N.Y.") denied a Motion to Dismiss securities fraud claims ...
By Cadwalader, Wickersham & Taft LLP
The National Futures Association ("NFA") charged an introducing broker with failing to fully implement its anti-money laundering ("AML") program.
By Cadwalader, Wickersham & Taft LLP
FINRA proposed a rule change to extend the credit default swap ("CDS") margin pilot program in FINRA Rule 4240 to July 18, 2019.
By Cadwalader, Wickersham & Taft LLP
The CFTC requested public comment on a proposal to amend the swap dealer de minimis exception. Comments must be submitted by August 13, 2018.
By Cadwalader, Wickersham & Taft LLP
A broker-dealer agreed to pay approximately $15 million to settle SEC charges of failing to supervise residential mortgage-backed securities ("RMBS") traders and salespersons.
By Cadwalader, Wickersham & Taft LLP
The Office of the Comptroller of the Currency, the FDIC and the Board of Governors of the Federal Reserve System ("Agencies") issued an updated policy statement on coordination...
By Joseph Moreno
The U.S. Treasury Department Financial Crimes Enforcement Network ("FinCEN") issued an advisory describing how corrupt foreign "politically exposed persons" ("PEPs") access the U.S. financial system.
By Cadwalader, Wickersham & Taft LLP
The MSRB filed a proposed rule change to amend MSRB Rule G-3 regarding the professional qualification requirements for broker-dealers ...
By Cadwalader, Wickersham & Taft LLP
The U.S. Treasury Department ("Treasury") Office of Foreign Assets Control ("OFAC") designated several Russian individuals and entities for working at the direction...
By Steven Lofchie
SEC Commissioner Robert J. Jackson Jr. advocated for the review and revision of SEC rules to limit executives from using stock buybacks to cash out at the expense of investors.
By Cadwalader, Wickersham & Taft LLP
Click on the links to view SEC notices of exchange rule changes and proposals for the week of June 4 to June 8, 2018.
Contributor's Topics
More...