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Cadwalader, Wickersham & Taft LLP
 
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By Cadwalader, Wickersham & Taft LLP
The Cabinet Regulatory Tracker provides a list of upcoming reporting deadlines, comment deadlines, effective dates and expiration dates.
By Cadwalader, Wickersham & Taft LLP
The SEC proposed a rule change that would exempt securities listed on the Investors Exchange ("IEX") from state registration requirements, pursuant to Securities Act Section 18(b).
By Cadwalader, Wickersham & Taft LLP
BNP Paribas S.A. ("BNP") agreed to pay a $246 million fine to settle charges that it engaged in "unsafe and unsound practices in the foreign exchange" ("FX") markets.
By Nihal Patel
A divided SEC affirmed an earlier ruling by an administrative judge that the SEC Division of Enforcement did not demonstrate sufficiently that a former trader had engaged in insider trading.
By Cadwalader, Wickersham & Taft LLP
IOSCO and the Committee on Payments and Market Infrastructures ("CPMI") published a fourth update to the Level 1 assessments of implementation monitoring of the "PFMI" (international standards for payment...
By Cadwalader, Wickersham & Taft LLP
Click on the links below to view SEC notices of exchange rule changes and proposals for the week of July 10 to July 14, 2017.
By Cadwalader, Wickersham & Taft LLP
The United States Court of Appeals for the Sixth Circuit dismissed a challenge (see previous coverage) to the MSRB's "pay-to-play" rule.
By Cadwalader, Wickersham & Taft LLP
At a hearing before the House Financial Services Subcommittee on Capital Markets, Securities, and Investment, several financial industry professionals (the "panelists") discussed potential negative effects...
By Cadwalader, Wickersham & Taft LLP
The MSRB issued guidance on the application of MSRB Rule G-42 to non-solicitor municipal advisors with regards to conduit financing.
By Jeffrey Robins
Federal Reserve Bank of New York ("NY Fed") Executive Vice President Simon Potter urged all foreign exchange market participants to adopt the FX Global Code (the "Code")...
By Cadwalader, Wickersham & Taft LLP
FINRA proposed amendments to the Arbitration Rules (FINRA Rules 12100 and 13100) to expand the scope of individuals eligible to serve as non-public arbitrators.
By Cadwalader, Wickersham & Taft LLP
The FDIC reminded banks to submit their Consolidated Reports of Condition and Income ("Call Reports") for the second quarter of 2017.
By Cadwalader, Wickersham & Taft LLP
The SEC Office of Investor Education and Advocacy ("OIEA") described the differences between "stop," "stop-limit" and "trailing stop" orders.
By Steven Lofchie
SEC Commissioner Kara Stein shared her views on the current state of U.S. capital markets and addressed several key issues.
By Steven Lofchie
FINRA and the MSRB issued guidance, in the form of Frequently Asked Questions, on new confirmation disclosure requirements that apply to transactions with retail customers in corporate debt...
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