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Searching Content indexed under Securities by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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Title
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Date
1
SEC Forms Asset Management Advisory Committee
The SEC formed an Asset Management Advisory Committee with an initial two-year term beginning on November 1, 2019.
United States
22 Oct 2019
2
SEC And DOJ Charge Individuals In Bribery Scheme
The SEC charged the former CEO and president of a Nasdaq-traded security technology company and charged three other individuals in a fraudulent broker bribery scheme.
United States
22 Oct 2019
3
SEC Proposes Broker Registration Relief For Municipal Advisors
The SEC proposed exempting certain municipal advisor activities from broker-dealer registration requirements.
United States
22 Oct 2019
4
MSRB Amends Proposed Changes To Guidance On Certain Municipal Securities And Advisory Activities
The MSRB amended proposed changes to its 2012 interpretive notice concerning the conduct of municipal securities underwriting and municipal advisory activities
United States
22 Oct 2019
5
DOJ Issues Guidance On "Inability-To-Pay" Claims
DOJ provided guidance for prosecutors evaluating claims from a business organization that it is unable to pay a proposed fine or penalty,
United States
22 Oct 2019
6
SEC, CFTC And Federal Reserve Approve Volcker Amendments
The SEC, CFTC and Federal Reserve each adopted amendments to the regulations implementing the Volcker Rule
United States
22 Oct 2019
7
Reg. Tracker: October 1 To October 15, 2019
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines and effective dates. Click on the links below to view deadlines from October 1, 2019 to October 15, 2019.
United States
18 Oct 2019
8
NASAA Warns Millennials On Investment Scams
The North American Securities Administrators Association ("NASAA") provided informational resources to millennials on investing and avoiding scams
United States
17 Oct 2019
9
Federal Register: SEC Extends "Test-The-Waters" Accommodations To All Issuers
The SEC final rule allowing all issuers to engage in certain communications in a contemplated initial public offering was published in the Federal Register
United States
17 Oct 2019
10
FINRA Changes Method For Calculating Trade Reporting Fees
FINRA proposed updating the method for calculating trade reporting fees under FINRA Rule 7620B for broker-dealers using the FINRA/NYSE Trade Reporting Facility (the "FINRA/NYSE TRF").
United States
17 Oct 2019
11
FINRA Cautions Investors Of Risks In Trading Binary Options
FINRA cautioned investors on the risks associated with binary options and offered guidance on how to avoid certain frauds.
United States
17 Oct 2019
12
FINRA To Issue Six New Rulemaking Proposals
Amendments to permit FINRA to publish aggregated TRACE volume data on transactions in U.S. Treasury Securities.
United States
17 Oct 2019
13
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
14
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
15
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
16
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
17
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
18
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
19
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
20
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
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