Cadwalader Cabinet General Counsel

Nov 22: Records of Rebate Reports


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SEC proposes to require extensive disclosures on securities loans. SEC proposes amendments to electronic recordkeeping requirements. SEC enforcement report touts volume of new actions and increase in penalties. SEC highlights spike in whistleblower tips in fiscal year 2021. SIFMA conducts financial sector cybersecurity exercise. Investment adviser settles charges for mishandling MNPI. FTC to expand criminal referral program. MSRB staff examines change in use of external liquidity over time. Comment deadline set for SEC proposal to expand electronic filing requirements. SEC names new Trading and Markets Director.

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Cadwalader Cabinet General CounselBy Cadwalader Cabinet