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Cadwalader, Wickersham & Taft LLP
 
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By Cadwalader, Wickersham & Taft LLP
An SEC proposal to amend the advertising and solicitation rules under the Investment Advisers Act of 1940 (the "Advisers Act") was published in the Federal Register. Comments on the proposal...
By Cadwalader, Wickersham & Taft LLP
The CFTC final rule amendments incorporating staff guidance on CPO and CTA registration and reporting requirements were published (see here and here)...
By Cadwalader, Wickersham & Taft LLP
OFAC authorized certain activities generally prohibited by the Global Magnitsky Sanctions Regulations in order to "wind down" certain transactions.
By Cadwalader, Wickersham & Taft LLP
A broker-dealer agreed to settle FINRA charges for late and inaccurate reporting and recordkeeping violations.
By Steven Lofchie
A firm settled FINRA charges for failure to comply with short interest reporting requirements, related supervisory failures concerning certain foreign-listed securities...
By Cadwalader, Wickersham & Taft LLP
A former U.S. Representative for New York's 27th Congressional District, his son and a third individual settled SEC charges for insider trading.
By Cadwalader, Wickersham & Taft LLP
In testimony before the Senate Committee on Banking, Housing and Urban Affairs, SEC Chair Jay Clayton described progress on the agency's FY 2019 initiatives.
By Cadwalader, Wickersham & Taft LLP
FINRA proposed amending Rule 7610A ("Securities Transaction Credit") to modify the schedule of securities transaction credits applicable
By Cadwalader, Wickersham & Taft LLP
A broker-dealer agreed to settle SEC charges for the improper handling of "pre-released" American Depositary Receipts ("ADRs") and related supervisory failures.
By Steven Lofchie
In a vote of 410 to 13, the House of Representatives passed a bill to strengthen the ban against insider trading.
By Steven Lofchie
The Financial Stability Oversight Council ("FSOC") approved interpretive guidance establishing an "activities-based approach" to address systemic risk.
By Cadwalader, Wickersham & Taft LLP
In a statement issued in connection with the 2019 AICPA Conference on Current SEC and PCAOB Developments, SEC Chief Accountant Sagar Teotia highlighted
By Cadwalader, Wickersham & Taft LLP
The FDIC adopted a final rule that will apply the community bank leverage ratio ("CBLR") framework to the deposit insurance assessment system.
By Nihal Patel
The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") granted time-limited no-action relief relating to the application of minimum transfer amounts ("MTAs")
By Steven Lofchie
At a hearing on "The Impact of Artificial Intelligence ("AI") on Capital Markets and Jobs in the Financial Services Industry," the House Financial Services Committee
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