Search
Searching Content indexed under Securities by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
Links to Result pages
 
1 2 3 4 5 6 7 8 9 10 11 . . .  
>>Next
 
Title
Country
Organisation
Author
Date
1
FINRA Fines Broker-Dealer For Failing To Qualify Traders
A broker-dealer settled FINRA charges for failing to ensure that certain equity traders had passed appropriate FINRA qualification examinations
United States
16 Aug 2019
2
FINRA Charges Former Registered Representatives With Failure To Report Outside Business Activities
In a FINRA disciplinary proceeding, the Department of Enforcement alleged that two former general securities representatives failed to report private securities transactions and outside business activities ("OBAs").
United States
16 Aug 2019
3
Individual Settles SEC Charges In Securities Manipulation Scheme
An individual from Virginia settled SEC charges for conspiring to manipulate the price of certain issuer securities through false regulatory filings.
United States
15 Aug 2019
4
SEC Grants Exemptive Relief To Spanish Bank From Certain Tender Offer Requirements
The SEC Division of Corporate Finance granted a Spanish bank exemptive relief from certain requirements under SEA Rule 14e-1 ("Unlawful
United States
15 Aug 2019
5
Federal Register: MSRB Proposes Amendments To Interpretive Guidance On Dealer Disclosure Requirements
An MSRB proposal amending interpretive guidance on certain disclosure obligations for municipal securities and municipal advisory activities was published in the Federal Register
United States
14 Aug 2019
6
FINRA Provides Resources For Reg. BI Implementation
FINRA urged broker-dealers to prepare for the implementation of SEC Regulation Best Interest ("Reg. BI").
United States
13 Aug 2019
7
SEC Proposes Amendments To Public Company Reporting Requirements
Comments must be submitted within 60 days of publication of the proposal in the Federal Register.
United States
13 Aug 2019
8
Reg. Tracker: August 1 To August 15 (2019)
The Cabinet Regulatory Tracker is a list of comment deadlines and effective dates.
United States
9 Aug 2019
9
SEC Codifies Exemption To Rating Agency Disclosure Obligations
The final rule will become effective 30 days after publication in the Federal Register.
United States
9 Aug 2019
10
SEC Grants India's Largest Commercial Ports Operator Partial Tender Offer Relief
The SEC granted an exemption from Exchange Act Rule 14e-1(a) ("Unlawful Tender Offer Practices")
United States
8 Aug 2019
11
Broker-Dealer Settles FINRA Charges For Late Trade Reporting
A broker-dealer settled FINRA charges for the delayed reporting of municipal securities transactions.
United States
8 Aug 2019
12
Reg. Tracker: August 1 to August 15, 2019
The Cabinet Regulatory Tracker is a list of comment deadlines and effective dates. Click on the links below to view deadlines from August 1, 2019 to August 15, 2019.
United States
8 Aug 2019
13
House Ag Subcommittee Raises "Grave Concerns" Over EU Clearing Regulation
The House Committee on Agriculture Subcommittee on Commodity Exchanges, Energy, and Credit (the "Subcommittee")
United States
8 Aug 2019
14
MSRB Elects New Leadership And Highlights Regulatory Initiatives For Next Fiscal Year
The Board of Directors of the MSRB (the "Board") elected new leadership, adopted a $42 million budget and highlighted regulatory initiatives for the fiscal year beginning on October 1, 2019.
United States
6 Aug 2019
15
SEC Chair Jay Clayton Extends FIMSAC Charter For One Year
SEC Chair Jay Clayton extended the charter of the Fixed Income Market Structure Advisory Committee ("FIMSAC") for another year.
United States
6 Aug 2019
16
Executive Order Targets Persons Contributing To "Deteriorating" Situation In Mali
In an Executive Order, President Donald J. Trump authorized the imposition of sanctions on persons who contribute to the "deteriorating" situation in Mali.
United States
5 Aug 2019
17
SEC Names New Chief Counsel Of Division Of Trading And Markets
The SEC named Emily Westerberg Russell as the new Chief Counsel of the Division of Trading and Markets (the "Division").
United States
31 Jul 2019
18
MSRB Proposes Amendments To Interpretive Guidance On Municipal Securities Dealers' Disclosure Requirements
The MSRB proposed to amend its interpretive guidance under MSRB Rule G-17 (Conduct of Municipal Securities and Municipal Advisory Activities)
United States
31 Jul 2019
19
SIFMA Publishes Guide On Consolidated Audit Trail
SIFMA published a guide for industry members on the Consolidated Audit Trail ("CAT") reporting requirements
United States
31 Jul 2019
20
NASAA Advises Companies And Investors On Use Of Initial Loan Procurements
The North American Securities Administrators Association ("NASAA") advised companies utilizing blockchain technology on an "alternative"
United States
31 Jul 2019
Links to Result pages
 
1 2 3 4 5 6 7 8 9 10 11 . . .  
>>Next