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Key Dates

Comment Deadlines

July 30, 2015: FINRA proposal to publish the remaining equity volume executed over the counter by FINRA members (SR-FINRA-2015-020) (80 FR 39463) - Submit comments to the SEC

Filing Deadlines

July 30, 2015: FINRA annual audit report filing deadline for fiscal years ending on March 31, 2015 - FINRA annual audit report information

Awards & Endorsements

"Cadwalader is proving the firm of choice for international banks. The firm's broker-dealer regulatory group remains one of the best in the U.S." -IFLR » See more Awards & Endorsements