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By Cadwalader, Wickersham & Taft LLP
In its monthly report, FINRA recapped disciplinary actions against member firms and individuals for violations of FINRA rules, MSRB rules, and federal securities laws and rules.
By Cadwalader, Wickersham & Taft LLP
The SEC adopted revisions to the Electronic Data Gathering, Analysis and Retrieval System ("EDGAR") Filer Manual and the associated rule under Reg. S-T.
By Jason Halper, Jared Stanisci, Victor Bieger
The Delaware Court of Chancery's 2016 decision in In re Trulia, Inc. Stockholder Litigation changed the landscape for "disclosure-only" settlements in class action suits.
By Jason Halper, Nathan Bull, Jared Stanisci, Victor Bieger
According to the complaint, Virtu became interested in acquiring KCG after concluding, in late 2016, that KCG's stock price was depressed.
By Jason Halper
Cadwalader attorneys analyzed the order from the U.S. District Court for the Southern District of New York ("SDNY")
By Ngoc Hulbig, Joel Mitnick
The FTC referred to its previous post on Section 8, which urged firms to monitor market developments to ensure changes in the market do not create unexpected interlocks, and then highlighted two common transaction scenarios where Section 8 issues may arise: mergers and spin-offs.
By Cadwalader, Wickersham & Taft LLP
SEC Commissioner Hester M. Peirce criticized efforts that would mandate gender requirements for the boards of public companies.
By Steven Lofchie
The SEC charged a municipal advisor with breaching its fiduciary duty by failing to provide its promised services to a public library client.
By Cadwalader, Wickersham & Taft LLP
The SEC approved amendments to MSRB Rule G-11 ("Primary Offering Practices") and MSRB Rule G-32 ("Disclosures in Connection with Primary Offerings")
By Steven Lofchie
Representative Maxine Waters (D-CA) introduced three amendments to the securities laws, two of which would freeze certain SEC proxy rulemaking initatives.
By Steven Lofchie
The SEC Office of the Investor Advocate ("OIA") set forth its priorities for protecting and promoting the interests of retail investors in its annual report on objectives for the coming fiscal year.
By Suzanne Bell, Robert Cannon, Stephen Day, Claire Puddicombe, David Quirolo, Nick Shiren, Daniel Tobias, Assia Damianova, Michael Sholem
The Bank of England ("BoE") has initiated a review of its own exposure to LIBOR.
By Cadwalader, Wickersham & Taft LLP
FINRA proposed amending Rules 6110 ("Trading Otherwise Than on an Exchange") and 6610 ("General") to expand the summary firm data that FINRA publishes on its website regarding OTC equity trading.
By Robert Zwirb
A Hong Kong-based hedge fund settled CFTC charges for exceeding the spot month speculative position limit for soft red winter wheat futures contracts.
By Nihal Patel
According to FINRA, additional margin requirements are necessary due to the "complex nature of these products." The new requirements are as follows.
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