United States: SEC Issues Warning To Broker-Dealers On Borrowing From Fully Paid Lending Programs - Cadwalader, Wickersham & Taft LLP

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28 Oct 2020 0 shares 1 views

United States: SEC Issues Warning To Broker-Dealers On Borrowing From Fully Paid Lending Programs - Cadwalader, Wickersham & Taft LLP

Mondaq

Published 28 Oct 2020

The SEC Division of Trading and Markets issued a warning letter to broker-dealers operating programs in which they borrow fully paid margin securities from their customers.

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United States: Federal Register: SEC Adopts Additional Requirements To Publish Quotations On OTC Securities - Cadwalader, Wickersham & Taft LLP

The amendments will go into effect on December 28, 2020, but an additional period will be allowed for issuers and broker-dealers to..

Mondaq 30 Oct 2020

United States: SEC Issues New FAQ On Reporting Disciplinary History On Form CRS - Cadwalader, Wickersham & Taft LLP

The SEC staff updated its FAQ for Form CRS to make explicit that a firm must answer "yes" or "no" to the question of whether the..

Mondaq 14 Oct 2020

United States: SEC Issues Warning To Broker-Dealers On Borrowing From Fully Paid Lending Programs - Cadwalader, Wickersham & Taft LLP

United States: SEC Issues Warning To Broker-Dealers On Borrowing From Fully Paid Lending Programs - Cadwalader, Wickersham & Taft LLP

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