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Compliance Date

  • March 3, 2015: SEC extension of compliance date for the temporary exemption to broker-dealers from the requirements of the financial responsibility rules pertaining to Exchange Act Rule 15c3-3 (79 FR 62930)
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