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Searching Content indexed under Corporate/Commercial Law by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
Reg. Tracker: July 1 To July 15, 2019
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, compliance dates, effective dates and expiration dates. Click on the links below to view deadlines from July 1, 2019
United States
18 Jul 2019
2
Federal Register: FINRA Proposes To Amend Requirements On Research Reports
The FINRA proposal to eliminate certain requirements applicable to research reports on "covered investment funds," in accordance with the Fair Access to Investment Research Act of 2017
United States
18 Jul 2019
3
Federal Register: SEC Amends "Auditor Independence" Rules
SEC amendments to auditor independence rules were published in the Federal Register. Rule 2-01(c)(1)(ii)(A) of Regulation S-X (the "Loan Provision")
United States
18 Jul 2019
4
Broker-Dealer Settles FINRA Charges For Failing To Supervise Representatives' Trading Activity
A broker-dealer settled FINRA charges for failing to adequately supervise the suitability of registered representatives' trading activity
United States
16 Jul 2019
5
SEC Names Chief Accountant
The SEC named Sagar Teotia as Chief Accountant, following the departure of Wesley R. Bricker. Mr. Teotia was previously serving as Acting Chief Accountant.
United States
16 Jul 2019
6
NASAA Names President-Elect
The North American Securities Administrators Association ("NASAA") named Christopher W. Gerold as its new President-elect.
United States
16 Jul 2019
7
FINRA Recaps Monthly Disciplinary Actions - July 2019
In its monthly report, FINRA recapped disciplinary actions against member firms and individuals for violations of FINRA rules, MSRB rules, and federal securities laws and rules.
United States
15 Jul 2019
8
SEC Adopts Revisions To EDGAR Filer Manual
The SEC adopted revisions to the Electronic Data Gathering, Analysis and Retrieval System ("EDGAR") Filer Manual and the associated rule under Reg. S-T.
United States
15 Jul 2019
9
SEC Commissioner Peirce Criticizes Efforts To Mandate Representation Of Women On Corporate Boards
SEC Commissioner Hester M. Peirce criticized efforts that would mandate gender requirements for the boards of public companies.
United States
12 Jul 2019
10
SEC Approves Amendments To MSRB Rules On Primary Offering Practices
The SEC approved amendments to MSRB Rule G-11 ("Primary Offering Practices") and MSRB Rule G-32 ("Disclosures in Connection with Primary Offerings")
United States
12 Jul 2019
11
FTC Reminds Market Participants Of Interlocking Prohibitions During Restructurings Or Acquisitions
The FTC reminded market participants to ensure that persons do not serve as officers or directors of competing companies during restructurings or acquisitions.
United States
11 Jul 2019
12
Bank Settles SEC Charges In Connection With Hidden Fees
A bank settled SEC charges in connection with overcharging mutual funds and registered investment company clients for expenses relating to the custody of client assets.
United States
11 Jul 2019
13
Southern District Of New York Vacates Insider Trading Guilty Plea Based On Insufficient Personal Benefit Evidence Under United States v. Newman
On June 21, 2019, in United States v. Lee,1 Judge Paul G. Gardephe of the U.S. District Court for the Southern District of New York issued an order vacating the guilty plea of a former investment
United States
10 Jul 2019
14
Federal Register: SEC Requests Comments On Securities Offering Exemptions
The SEC concept release reviewing the framework for exempt offerings was published in the Federal Register.
United States
9 Jul 2019
15
SEC Names New Chief Of Staff And Deputy Chief Of Staff
SEC Chief of Staff Lucas Moskowitz will leave the agency in August 2019. The SEC named Sean Memon as the new Chief of Staff and Bryan Wood as Deputy Chief of Staff.
United States
9 Jul 2019
16
SEC Amends "Auditor Independence" Rules Clarifying Debtor-Creditor Relationships
The SEC adopted Rule 2-01(c)(1)(ii)(A) of Regulation S-X (the "Loan Provision") to change the interpretation of "auditor independence"
United States
2 Jul 2019
17
Broker-Dealer Settles SEC Charges Of Improper Handling Of ADRs
A broker-dealer agreed to settle SEC charges for improper handling of "pre-released" American Depository Receipts ("ADRs").
United States
2 Jul 2019
18
SEC Names Senior Advisor In Division of Investment Management
The SEC named Adam B. Glazer as Senior Advisor to the Director of the Division of Investment Management.
United States
1 Jul 2019
19
Broker-Dealer Settles FINRA Charges For Failing To Report Outside Activities
A former general securities representative ("GSR") settled FINRA charges for failing to notify his company that he created an external cryptocurrency-mining business.
United States
1 Jul 2019
20
SEC Commissioner Hester Peirce Urges Agency To Conduct Risk Analysis Of ETFs
SEC Commissioner Hester M. Peirce urged the agency to conduct an in-depth analysis of the features and risks of exchange-traded funds
United States
1 Jul 2019
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