Cadwalader, Wickersham & Taft LLP

Your 401(k) Plan "Brokerage Window" May Require An S-8 Registration

New guidance from the Securities Exchange Commission requires issuers to take a fresh look at their 401(k) plans. On September 22, 2016, the SEC’s Division of Corporation Finance released a Compliance and Disclosure…more
| Commercial Law & Contracts, Finance & Banking, Labor & Employment Law, Securities Law

CFTC Staff Issues Final Swap Dealer De Minimis Exception Report

On August 15, 2016, Staff of the U.S. Commodity Futures Trading Commission (“CFTC”) published a final report regarding the de minimis exception from swap dealer registration (“Staff De Minimis Report”).  The Staff De Minimis…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

The SEC Retains its House Advantage During Administrative Proceedings

Amendments to the Rules of Practice Do Little to Address Criticism that the Deck is Stacked - Facing pressure from industry practitioners and in the wake of constitutional challenges in multiple jurisdictions, the…more
| Administrative Law, Commercial Law & Contracts, Securities Law

Amendments to the Basel Securitisation Framework – Alternative Capital Treatment for Simple, Transparent and Comparable Securitisations

The Basel Committee on Banking Supervision (the “Basel Committee”) published an updated version of the “Basel III Document – Revisions to the securitisation framework” on 11 July 2016 (the “Amended Securitisation Framework”). …more
| Commercial Law & Contracts, Finance & Banking, Securities Law

FinCEN Tightens the Screws on Money Launderers with Additional Scrutiny of High-Value Residential Real Estate Transactions

Choice real estate markets such as New York, Miami, Los Angeles, San Francisco, San Diego, and San Antonio may offer enticing amenities like buzzing nightlife or sunny beaches, but thanks to the Financial Crimes Enforcement…more
| Commercial Law & Contracts, Finance & Banking, Insurance, Real Estate - Commercial, Real Estate - Residential

Supreme Court Reinvigorates Effectiveness of Obtaining an Opinion of Counsel to Defend against Potential Enhanced Damages for Willful Infringement in Halo Electronics

On June 13, 2016, the U.S. Supreme Court again reversed a decision of the Federal Circuit—the Circuit specially designated to hear all patent appeals—this time, in articulating the test for determining whether to award enhanced…more
| Civil Procedure, Intellectual Property, Science, Computers, & Technology

Potential Risks and Rewards of Cybersecurity Information Sharing Under CISA

When President Obama signed into law the Cybersecurity Act of 2015, which was designed to facilitate information sharing on cybersecurity threats between the public and private sectors, proponents hailed it as “our best chance…more
| Communications & Media Law, Privacy, Science, Computers, & Technology

Proposed Regulations Would Block Some Spinoffs

Proposed regulations issued on July 14, 2016 generally would prevent tax-free spinoffs involving companies with less than 5% active business assets and spinoffs where one company holds a substantial amount of nonbusiness assets…more
| Business Organizations, Mergers & Acquisitions, Taxation

The Defend Trade Secrets Act: Significant Recent Changes to Intellectual Property Law May Provide New Avenues for Protecting Potentially Unpatentable Critical Discoveries

On May 11, 2016, President Obama signed into law the Defend Trade Secrets Act (“DTSA”), marking one of largest changes to intellectual property law since the America Invents Act of 2011. This legislation will allow companies to…more
| Civil Procedure, Civil Remedies, Labor & Employment Law, Intellectual Property, Science, Computers, & Technology

CFTC Issues $560,000 Penalty for Inaccurate Large Trader Reporting of Swaps

On July 6, 2016, the Commodity Futures Trading Commission (“CFTC” or the “Commission”) fined Barclays Bank PLC (“Barclays”) $560,000 for inaccurate large trader reporting of swaps positions. This is the third and largest civil…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

FERC Increases Maximum Civil Monetary Penalties for Power, Gas and Oil Companies

On June 29, 2016, the Federal Energy Regulatory Commission (the “Commission”) issued an interim final rule amending the civil monetary penalties within its jurisdiction to adjust for inflation. FERC adjusted its penalties…more
| Energy & Utilities

D.C. Circuit Reopens Controversy Concerning Regulated Master Limited Partnership Taxation

On Friday, July 1, 2016, a panel of the United States Court of Appeals for the District of Columbia Circuit reopened the issue of whether pipelines organized as partnerships can claim a tax allowance for ratemaking purposes in…more
| Business Organizations, Civil Procedure, Energy & Utilities, Taxation

Proposed QI Agreement Addresses Cascading Withholding on Dividend Equivalents

On July 1, the U.S. Internal Revenue Service issued Notice 2016-42, which proposes changes to the qualified intermediary (QI) agreement to address cascading U.S. withholding tax on dividends and “dividend equivalents” received…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law, Taxation

FERC Issues Order Assessing Civil Penalties Against ETRACOM

On Friday, June 17, 2016, the Federal Energy Regulatory Commission (the “Commission”) issued an Order Assessing Civil Penalties against ETRACOM LLC (“ETRACOM”) and ETRACOM’s founding member and majority owner, Michael Rosenberg…more
| Commercial Law & Contracts, Energy & Utilities, Securities Law

SEC Proposal Would Require Business Continuity and Transition Plans for Investment Advisers

Citing the ongoing risk of terrorist and cyber-attacks, the 2008 financial crisis, and Hurricanes Katrina and Sandy, the Securities and Exchange Commission (“SEC”) has issued proposed rules under the Investment Advisers Act of…more
| Commercial Law & Contracts, Finance & Banking, Securities Law
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Contact

200 Liberty Street
New York, NY 10281, United States

Contact: Kara Fitzsimmons

  • 212 504 6000
  • 212 504 6666

Areas of Practice
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Other U.S. Locations
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Number of Attorneys

400+ Attorneys

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