Search
Searching Content indexed under Corporate/Commercial Law 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
Company Settles Potential Civil Liability For Violations Of Cuban Assets Control Regulations
A Boston-based company (the "Company") settled potential civil liability on behalf of three of its current and former subsidiaries for alleged violations...
United States
16 Oct 2019
2
Federal Register: SEC Proposes To Update Bank Holding Company Statistical Disclosure Requirements
The SEC proposal to (i) update the statistical disclosures for bank and savings and loan registrants and (ii) eliminate redundant disclosures was published in the Federal Register.
United States
14 Oct 2019
3
Broker-Dealer Settles FINRA Charges For Short Positions In Municipal Securities Failures
A broker-dealer settled FINRA charges for failing to implement an adequate supervisory system to address short positions in tax-exempt municipal bonds.
United States
14 Oct 2019
4
SEC Proposes Rescinding Certain Regulation NMS Provisions On Fee Change Amendments
The SEC proposed rescinding certain exceptions under Regulation NMS concerning fee changes to a national market system plan.
United States
11 Oct 2019
5
FINRA Amends Investment Fund Research Rules To Conform To FAIR Act
FINRA adopted rule amendments that eliminate certain requirements applicable to research reports on "covered investment funds," in accordance with the Fair Access to Investment Research Act of 2017 ("FAIR Act").
United States
10 Oct 2019
6
SEC Adopts Revisions To EDGAR Filer Manual
The SEC adopted revisions to the Electronic Data Gathering, Analysis and Retrieval System ("EDGAR")
United States
9 Oct 2019
7
Federal Register: MSRB Raises Professional Fee for Municipal Advisors
An MSRB-proposed rule change to increase the professional fee for municipal advisors was published in the Federal Register.
United States
9 Oct 2019
8
Marketing And Printing Services Provider Settles FCPA Charges
A Wisconsin-based marketing digital and print services provider settled SEC charges that it violated the anti-bribery and books and records provisions of the Foreign Corrupt Practices Act
United States
8 Oct 2019
9
Senators Introduce Bill To Require Reporting Of Beneficial Ownership Information
A bipartisan group of senators introduced a bill which would impose federal beneficial ownership reporting requirements
United States
8 Oct 2019
10
SEC Extends "Test-the-Waters" Accommodation To All Issuers
The SEC adopted a final rule to extend "test-the-waters" accommodations that allow certain communications in a contemplated initial public offering to all issuers,
United States
7 Oct 2019
11
SEC Proposes Amending Rule Governing Quotations In OTC Securities
The SEC proposed amendments to SEA rules that would tighten the requirements that broker-dealers must meet before being permitted to post public quotations on OTC securities.
United States
7 Oct 2019
12
SEC Adopts Final Rule Updating ETF Approval Process
The SEC adopted a new rule and form amendments designed to modernize the regulation of exchange-traded funds ("ETFs")
United States
7 Oct 2019
13
Data Services Company Settles SEC Charges For Accounting And Disclosure Violations
Publicly traded data services company Comscore, Inc. and its former CEO settled SEC charges for financial accounting and fraud.
United States
7 Oct 2019
14
Broker-Dealer Settles SEC Charges For Failure To Protect Subscribers' Confidential Information
A broker-dealer that operates an alternative trading system ("ATS") for trading fixed income securities settled
United States
4 Oct 2019
15
ICI And MFA Respond To SEC Concept Release On Securities Act Registration Exemptions
The Investment Company Institute ("ICI") and the Managed Funds Association ("MFA") responded to an SEC concept release on Securities Act registration exemptions that facilitate capital raising.
United States
4 Oct 2019
16
SIFMA Opposes Bill To Overturn Supreme Court Decision On SEC Disgorgement Claims
SIFMA opposed a bill that would effectively overturn the Supreme Court's Decision in Kokesh v. SEC, which held that SEC claims for disgorgement were punitive
United States
4 Oct 2019
17
FINRA Recaps Monthly Disciplinary Actions - September 25, 2019
In its September disciplinary report, FINRA recapped actions against member firms and individuals for violations of FINRA rules, MSRB rules, and federal securities laws and rules.
United States
4 Oct 2019
18
The Delaware Court Of Chancery Enforces Clear And Unambiguous Terms Of Merger Agreement In Finding Termination Fee Provision Did Not Afford Exclusive Remedy For Termination
The Delaware Court of Chancery's recent decision, Genuine Parts Company v. Essendant Inc.,1provides a helpful reminder that Delaware courts will enforce the clear...
United States
3 Oct 2019
19
FINRA Provides Q&As On Amended TRACE Reporting Requirements For Certain Treasury Securities
FINRA provided Q&A guidance on amendments to TRACE reporting rules for certain transactions in U.S. Treasury securities.
United States
2 Oct 2019
20
SEC Provides Testimony On FY 2019 Developments
At a House Financial Services Committee hearing, the SEC provided testimony on initiatives undertaken during the fiscal year.
United States
2 Oct 2019
Links to Result pages
 
1 2 3 4 5 6 7 8 9 10 11 . . .  
>>Next