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Cadwalader, Wickersham & Taft LLP
 
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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.
By Cadwalader, Wickersham & Taft LLP
The National Futures Association ("NFA") submitted a proposal to update the risk disclosure statement for security futures contracts that broker-dealers are required to provide to a customer prior to trading.
By Joseph Moreno, Kyle DeYoung, Keith Gerver, Alexander Hokenson, Stephen Weiss
Public companies should not expect that the SEC will wait for a similarly egregious case to bring future cybersecurity disclosure enforcement actions, attorneys from Cadwalader, Wickersham & Taft LLP write.
By Cadwalader, Wickersham & Taft LLP
The SEC Division of Corporate Finance (the "Division") granted no-action relief allowing a company's common stock to be issued as part of a class action ...
By Cadwalader, Wickersham & Taft LLP
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, compliance dates and effective dates.
By Cadwalader, Wickersham & Taft LLP
FINRA filed for immediate effectiveness a proposed rule change with the SEC to update the security futures risk disclosure statement.
By Joseph Moreno
SEC Chair Jay Clayton asserted that bitcoin and other cryptocurrencies that are replacements for U.S. dollars or other sovereign (fiat) currencies do not constitute securities under federal securities laws ...
By Cadwalader, Wickersham & Taft LLP
FINRA filed a proposed amendment with the SEC that would impose additional Transaction Reporting and Compliance Engine ("TRACE") ...
By Cadwalader, Wickersham & Taft LLP
The SEC named Valerie A. Szczepanik as Senior Advisor for Digital Assets, and Associate Director of the Division of Corporation Finance.
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