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Key Dates

Comment Deadlines

April 2, 2015: Rebuttal comments regarding proposal to adopt FINRA Rule 2242 involving research analysts and debt research report (80 FR 14198) - Submit Comments to the SEC (SR-FINRA-2014-048)

April 7, 2015: FINRA amendments to FINRA Rule 6700 Series or the Trade Reporting and Compliance Engine ("TRACE") rules, to require members to identify transactions with non-member affiliates, as well as to change how FINRA disseminates a subset of these transactions (80 FR 13940) - Submit comments to the SEC (SR-FINRA-2014-050)

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