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By Cadwalader, Wickersham & Taft LLP
This holiday makes my head spin!
By Cadwalader, Wickersham & Taft LLP
Nellie Liang, President Donald J. Trump's nominee for a seat on the Federal Reserve Board, withdrew her name from consideration.
By Cadwalader, Wickersham & Taft LLP
FINRA updated the Supplemental Statement of Income ("SSOI") to conform with SEC rule amendments that "simplify and update certain of the FOCUS reporting requirements for broker-dealers."
By Cadwalader, Wickersham & Taft LLP
The Federal Reserve Board ("FRB") proposed a rule amending the FRB's company-run stress test and supervisory stress test rules ...
By James Treanor
The U.S. Treasury Department Office of Foreign Assets Control ("OFAC") sanctioned seven individuals and 23 entities in a corruption scheme ...
By Cadwalader, Wickersham & Taft LLP
In an Information Notice, FINRA provided firms with the due dates for filing requests of extension of time for bank and exchange holiday closures in 2019.
By Cadwalader, Wickersham & Taft LLP
The proposed rule change also makes corresponding changes intended to improve the discovery process.
By Cadwalader, Wickersham & Taft LLP
Comments must be received by January 22, 2019.
By Cadwalader, Wickersham & Taft LLP
The NFA alleged that IVG Energy Ltd. ("IVG"), an introducing broker, failed to (i) "keep full, complete and systematic records of all transactions relating to IVG's business of dealing
By Cadwalader, Wickersham & Taft LLP
The NFA amended an Interpretive Notice (the "Notice") on Information Systems Security Program ("ISSP") requirements.
By Steven Lofchie
FINRA suspended and fined a broker-dealer, and barred from associating with any FINRA member firm the CEO of the broker-dealer's parent corporation,
By Cadwalader, Wickersham & Taft LLP
The MSRB requested feedback on draft interpretive guidance regarding the application of MSRB rules, and previous interpretive guidance for specific prearranged trading in connection
By Dorothy Mehta
President Trump signed into law the "RBIC Advisers Relief Act of 2018" (the "Act"). The new law amends the Investment Advisers Act to "exempt investment advisers
By Cadwalader, Wickersham & Taft LLP
Comments must be received by March 21, 2019.
By Cadwalader, Wickersham & Taft LLP
Mr. Otting will be Acting Director upon Mr. Watt's departure until a permanent Director is confirmed.
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