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Articles by Conor Almquist
He Securities Law Treatment Of Utility Tokens (Or Why It Is Past Time For The SEC To Engage With The Hard Questions)
United States: He Securities Law Treatment Of Utility Tokens (Or Why It Is Past Time For The SEC To Engage With The Hard Questions) 14 January 2022 by Steven D. Lofchie , John T. Moehringer , Mark Grider , Conor Almquist and Sebastian Souchet Cadwalader, Wickersham & Taft LLP Your LinkedIn Connections with the authors To print this article, all you need is to be registered or login on Mondaq.com. I. Introduction A.
ICO Issuer And CEO Settle SEC Charges For Conducting Unregistered And Fraudulent Securities Offering
United States: ICO Issuer And CEO Settle SEC Charges For Conducting Unregistered And Fraudulent Securities Offering 28 June 2021 Cadwalader, Wickersham & Taft LLP Your LinkedIn Connections with the authors To print this article, all you need is to be registered or login on Mondaq.com. An initial coin offering ("ICO") issuer and its CEO settled SEC charges for conducting an unregistered offering and sale of digital asset securities, and for making materially false and misleading statements.
NFA Reminds Members Engaging In Virtual Currency Of Ongoing Disclosure Obligations
United States: NFA Reminds Members Engaging In Virtual Currency Of Ongoing Disclosure Obligations 09 June 2021 Cadwalader, Wickersham & Taft LLP Your LinkedIn Connections with the authors To print this article, all you need is to be registered or login on Mondaq.com. NFA reminded futures commission merchants ("FCMs"), introducing brokers ("IBs"), CPOs and CTAs of their ongoing disclosure and reporting requirements when engaging in virtual currency activities.
FINRA Highlights Impact Of Educational Intervention In Detecting Financial Fraud - Finance and Banking - United States
United States: FINRA Highlights Impact Of Educational Intervention In Detecting Financial Fraud 15 March 2021 Cadwalader, Wickersham & Taft LLP Your LinkedIn Connections with the authors To print this article, all you need is to be registered or login on Mondaq.com.
NFA Adopts Supervisory Framework On Outsourcing Arrangements
United States: NFA Adopts Supervisory Framework On Outsourcing Arrangements 10 March 2021 Cadwalader, Wickersham & Taft LLP Your LinkedIn Connections with the authors To print this article, all you need is to be registered or login on Mondaq.com.
SEC Commissioner Hester Peirce Warns Of
United States: SEC Commissioner Hester Peirce Warns Of "Legacy Financial System" Resistance To Innovation 05 March 2021 Cadwalader, Wickersham & Taft LLP Your LinkedIn Connections with the authors To print this article, all you need is to be registered or login on Mondaq.com. SEC Commissioner Hester M.
DTCC Proposes Method For Shortening U.S. Settlement Cycle
United States: DTCC Proposes Method For Shortening U.S. Settlement Cycle 04 March 2021 Cadwalader, Wickersham & Taft LLP Your LinkedIn Connections with the authors To print this article, all you need is to be registered or login on Mondaq.com. DTCC proposed a method for shortening the U.S. trade settlement cycle from two business days ("T+2") to one business day ("T+1").
Digital-Asset Company Founder Indicted By DOJ In Cryptocurrency Scheme
United States: Digital-Asset Company Founder Indicted By DOJ In Cryptocurrency Scheme 03 March 2021 Cadwalader, Wickersham & Taft LLP Your LinkedIn Connections with the authors To print this article, all you need is to be registered or login on Mondaq.com. The DOJ charged the founder of two digital-asset companies with fraud and conspiracy for his role in a cryptocurrency investment scheme.
SEC Division Of Examinations Outlines Focus On Digital Assets
United States: SEC Division Of Examinations Outlines Focus On Digital Assets 03 March 2021 by Steven D. Lofchie and Conor Almquist Cadwalader, Wickersham & Taft LLP Your LinkedIn Connections with the authors To print this article, all you need is to be registered or login on Mondaq.com.
CRS Provides Timeline In GameStop Market Volatility
United States: CRS Provides Timeline In GameStop Market Volatility 03 March 2021 Cadwalader, Wickersham & Taft LLP Your LinkedIn Connections with the authors To print this article, all you need is to be registered or login on Mondaq.com.
FINRA Finds Four In Ten American Households Vulnerable To Financial Hardship - Finance and Banking - United States
United States: FINRA Finds Four In Ten American Households Vulnerable To Financial Hardship 22 February 2021 Cadwalader, Wickersham & Taft LLP Your LinkedIn Connections with the authors To print this article, all you need is to be registered or login on Mondaq.com. The FINRA Investor Education Foundation ("IEF") examined the circumstances that impact the ability of Americans to financially weather and recover from economic hardships.
FINRA Identifies 2021 Risk Monitoring And Examination Priorities (2021)
United States: FINRA Identifies 2021 Risk Monitoring And Examination Priorities (2021) 08 February 2021 Cadwalader, Wickersham & Taft LLP Your LinkedIn Connections with the authors To print this article, all you need is to be registered or login on Mondaq.com. In its Risk Monitoring and Examination Priorities Letter (the "2021 Letter"), FINRA identified several areas of focus for 2021, including: Firm Operations.
Broker-Dealer Settles FINRA Charges For Recordkeeping And Supervisory Failures - Finance and Banking - United States
United States: Broker-Dealer Settles FINRA Charges For Recordkeeping And Supervisory Failures 11 January 2021 Cadwalader, Wickersham & Taft LLP Your LinkedIn Connections with the authors To print this article, all you need is to be registered or login on Mondaq.com. A broker-dealer settled FINRA charges for failing to adequately retain records, screen associated persons and supervise the creation and dissemination of consolidated reports.
SEC Staff Seek Feedback On Definition Of
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Chinese City Issues Digital Currency In Pilot Program
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FINRA Proposes Longer Hold Periods To Combat Suspected Financial Exploitation Of Seniors
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Recent Enforcement Actions Define The
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Recent Enforcement Actions Define the “Person” that Participates in a Partial Tender | JD Supra
The Financial Industry Regulatory Authority (“FINRA”) recently brought enforcement actions against two broker-dealers that violated Rule 14e-4 under the Securities Exchange Act of 1934 (the “SEA”) (generally known as the “partial tender rule”) by, among other things, performing required position calculations at the level of the various aggregation units or individual trading units within the broker-dealer, rather than at the entity level.1 By calculating their positions in this manner, these...
Broker-Dealer Fined For Over-Tendering Shares Into Partial Tender Offer
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FINRA Encourages Firms To Report Digital Assets-Related Activities
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NASAA Cites Improved Reporting On Senior Financial Exploitation Under Model Act
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Broker Dealer Settles FINRA Charges For Supervisory Failures Over Best Execution
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SEC Adopts Regulation Best Interest | JD Supra
The Securities and Exchange Commission (the “SEC”) on June 5 adopted Regulation Best Interest: The Broker-Dealer Standard of Conduct (“Reg BI”), which requires that broker-dealers act in the “best interest” of their “retail customers.” The SEC also adopted (i) a rule requiring that each broker-dealer and investment adviser send its retail clients and file with the SEC a “Client Relationship Summary” providing information about that broker-dealer or adviser (including a standardized...
Swap Execution Facilities, the Sequel | JD Supra
The Commodity Futures Trading Commission (the “CFTC”) issued a release (the “SEF Proposing Release”)1 that would make significant revisions to the regulatory requirements that apply under Part 37 of the CFTC Rules (the “Existing Rules”) to the trading of swaps and to the market‑places that offer “exchange trading” of swaps (referred to as “swap execution facilities” or “SEFs”).2 Beyond amending the Existing Rules, the SEF Proposing Release would substantially reinterpret two statutory terms:...
SEF Proposed by CFTC to Make Significant Changes to Swap Exchange Trade
Wednesday, December 12, 2018 The Commodity Futures Trading Commission (the “CFTC”) issued a release (the “SEF Proposing Release”)1 that would make significant revisions to the regulatory requirements that apply under Part 37 of the CFTC Rules (the “Existing Rules”) to the trading of swaps and to the market‑places that offer “exchange trading” of swaps (referred to as “swap execution facilities” or “SEFs”).2 Beyond amending the Existing Rules, the SEF Proposing Release would substantially...
Definitely Maybe? The SEC Returns to Security-Based Swap Dealer Regulation | JD Supra
The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) was signed into law eight years ago.
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