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Tag: llp


United States: Federal Register: SEC Proposes Rule Amendments Designed To Expand Access To Private Capital Markets - Cadwalader, Wickersham & Taft LLP

2020-01-22 11:12:38| Mondaq.Com

An SEC proposal to amend the definitions of "accredited investor" in Rule 501(a) of Regulation D and "qualified institutional buyer" under Rule 144A.

Tags register united private access

 
United States: FINRA Recaps Monthly Disciplinary Actions - January 17, 2020 - Cadwalader, Wickersham & Taft LLP

2020-01-22 11:11:42| Mondaq.Com

In its January disciplinary report, FINRA recapped actions.

Tags january united states united states

 
 
United States: Broker-Dealer Settles FINRA Charges For Misreporting Short Positions In Equity Securities - Cadwalader, Wickersham & Taft LLP

2020-01-22 11:11:08| Mondaq.Com

A broker-dealer settled FINRA charges for misreporting short positions in equity securities from March 31, 2016 to October 14, 2016.

Tags united states short united states

 
United States: Broker-Dealer Disciplined For Lax Oversight Of Payments From Customer Accounts - Cadwalader, Wickersham & Taft LLP

2020-01-22 11:10:02| Mondaq.Com

A broker-dealer settled FINRA charges for failing to take reasonable measures to prevent fraudulent wire transfers from customers' accounts.

Tags united states united states customer

 
United States: FINRA Proposes Allowing Firms To Clear Certain Debt Transactions Internally - Cadwalader, Wickersham & Taft LLP

2020-01-22 11:09:11| Mondaq.Com

FINRA proposed amending Rule 11900 to provide an exception to the general requirement that a clearing firm must clear OTC transactions in corporate debt securities through a registered clearing agency.

Tags united states united states clear

 

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