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Documents on Banking & Financial Services
 

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Adobe PDFThe Securities and Exchange Commission Approves Nasdaq Rule on Sponsored Access and Proposes a Rule to Prohibit Naked Sponsored Access; Issues Concept Release on Market Structure
Glen P. Barrentine, Steven David Lofchie, Anwar Ragep, Jeffrey L. Robins; Cadwalader, Wickersham & Taft LLP;
Legal Alert/Article
March 2, 2010, previously published on February 9, 2010
The Securities and Exchange Commission (the “SEC”) approved a new Nasdaq Stock Market LLC (“Nasdaq”) rule and proposed its own Rule 15c3-5 under the Securities Exchange Act of 1934 (the “Exchange Act”), each imposing restrictions on what are commonly called...

 

Adobe PDFSecurities and Exchange Commission Proposes Regulation of Indications of Interest and Dark Pools
Glen P. Barrentine, Steven David Lofchie; Cadwalader, Wickersham & Taft LLP;
Legal Alert/Article
November 25, 2009, previously published on November 23, 2009
On November 13, 2009, the Securities and Exchange Commission (“SEC”) released a proposal (the “Proposal”) to amend the regulatory requirements “that apply to non-public trading interest in National Market System (“NMS”) stocks.”

 

Adobe PDFFINRA Issues Research Rule Proposal for Consolidated FINRA Rulebook
Steven David Lofchie, Maurine R. Bartlett, Glen P. Barrentine, Jeffrey L. Robins, Mark Highman; Cadwalader, Wickersham & Taft LLP;
Legal Alert/Article
November 20, 2008, previously published on November 5, 2008
FINRA has issued for consultation its proposed equity research rules for the Consolidated FINRA Rulebook (the "FINRA Research Proposal").

 

Adobe PDFTemporary SEC Rules Regarding Naked Short Selling and Related Matters
Maurine R. Bartlett, Glen P. Barrentine, Andrew James Lom; Cadwalader, Wickersham & Taft LLP;
Legal Alert/Article
October 16, 2008, previously published on September 22, 2008
As a result of recent developments affecting the financial markets, the SEC has concluded that there continues to exist a substantial threat of sudden and excessive fluctuations of securities prices and that it is necessary to promulgate temporary rules with respect to enhanced delivery, reporting...

 


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