Cadwalader Cabinet General Counsel

Do You Know What You Are Doing?


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FINRA proposes longer hold periods to combat suspected financial exploitation of seniors. SEC staff reports on the safety of the clearing agencies. CFTC amends CPO reporting requirements. NFA amends code of arbitration and member arbitration rules. NFA reminds registrants of expiration of relief from fingerprinting requirements. SEC charges cybersecurity entrepreneur for fraudulently touting ICOs. CFTC enforcement director moves on.

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Cadwalader Cabinet General CounselBy Cadwalader Cabinet