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Changes in laws, rules and interpretations;
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Key Dates

Comment Deadlines

September 3, 2015: FINRA extension of the tier size pilot of FINRA Rule 6433("Minimum Quotation Size Requirements for OTC Equity Securities") (80 FR 28327) - Submit comments to the SEC

September 3, 2015: MSRB proposal to revise the content outlines of the Municipal Fund Securities Limited Principal Qualification Examination (Series 51), the Municipal Securities Representative Qualification Examination (Series 52) and the Municipal Securities Principal Qualification Examination (Series 53) (80 FR 48572) - Submit comments to the MSRB

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