Mondaq USA: Corporate/Commercial Law
Mayer Brown
On September 6, 2019, Co-Director of Enforcement Steven Peikin of the SEC delivered a speech at the Securities Conference 2019. During this address, he discussed whether the SEC's Division
Mayer Brown
If you were somewhat put off by the prospect of reading over 1,000 pages of adopting releases for Regulation Best Interest and the Form CRS relationship summary and amendments to Form ADV, you are now
Cleary Gottlieb Steen & Hamilton LLP
On September 21, 2019, Cleary Gottlieb partners Ethan Klingsberg and Jim Langston, along with moderator Paul Washington
Smith Gambrell & Russell LLP
On January 4, 2013, Thelma Sosa and Aron Froimovits signed a handwritten, one-page agreement in which Sosa agreed to sell to Froimovits or his assignee two separate properties in Brooklyn
Shearman & Sterling LLP
On September 30, 2019, Judge Loretta A. Preska of the United States District Court for the Southern District of New York dismissed federal securities...
Cooley LLP
Thanks to thecorporatecounsel.net for catching this announcement from NYC Comptroller Scott Stringer and the NYC Retirement Systems, which reported that, since the inception of the Comptroller's "Boardroom Accountability Project," ...
WilmerHale
On October 8, 2019, the US Department of Justice (DOJ or Justice Department) issued new guidance on evaluating inability-to-pay arguments in a memorandum to the Criminal Division.
Milbank LLP
Milbank Litigation and White Collar partner George Canellos will speak on a panel titled "Rebuttal: The Defense Perspective" at Practising Law Institute's 51st Annual Institute on Securities
Mayer Brown
A general securities representative settled Financial Industry Regulatory Authority ("FINRA") charges for advising customers to purchase Leveraged and Inverse Exchange Traded Funds
Gibson, Dunn & Crutcher
This Client Alert provides an update on shareholder activism activity involving NYSE- and Nasdaq-listed companies with equity market capitalizations...
Mayer Brown
In Regulatory Notice 19-31 (the "Notice"), FINRA focuses on keeping marketing materials fair and balanced, as required by FINRA Rules 2210 – 2220, but also keeping those materials short and sweet.
Cadwalader, Wickersham & Taft LLP
The North American Securities Administrators Association ("NASAA") provided informational resources to millennials on investing and avoiding scams
Cadwalader, Wickersham & Taft LLP
The SEC final rule allowing all issuers to engage in certain communications in a contemplated initial public offering was published in the Federal Register
Cooley LLP
ISS would continue voting against incumbent directors for as long as the problematic practice continued.
Cadwalader, Wickersham & Taft LLP
Amendments to permit FINRA to publish aggregated TRACE volume data on transactions in U.S. Treasury Securities.
Mayer Brown
Section 206(3) makes it unlawful, with certain limited exceptions, for an investment adviser to directly sell or purchase securities to and from clients or to act as a broker for a third party effecting
Rimon P.C.
The SEC recently reached a $24 million settlement with Block.one for its unregistered offering of over $4 billion worth of EOS tokens.
Gibson, Dunn & Crutcher
The Securities and Exchange Commission and Congress are taking steps to reduce the burdens and costs of being a public company. In this six-part article, the authors address this effort, ...
Cooley LLP
At the end of September, the SEC announced that it had filed a complaint in federal court charging pharma Mylan N.V. with failing to timely disclose in its financial statements the "reasonably possible" material losses ...
Orrick
On September 26, 2019, the Securities and Exchange Commission (SEC) adopted Rule 163B permitting all companies to use test-the-waters (TTW) communications
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Lewis Brisbois Bisgaard & Smith LLP
The 2018 California legislative session was another busy year with numerous employment-related bill signed into law.
Torys LLP
The work of proxy advisory firms has been on the SEC's radar for several years. Extensive consultations with market participants and research into the role of proxy advisory firms
Reed Smith
In Securities and Exchange Commission v. ICOBox et al,[1] the Securities and Exchange Commission ("SEC") alleges that defendant ICOBox and its founder
Cooley LLP
According to this recent study from consulting firm McKinsey, investors want to see a different kind of sustainability reporting.
Winston & Strawn LLP
We hope that commenters will make sure we get this balance right by letting us know what, if any, specific measures would be useful for investors.
Cadwalader, Wickersham & Taft LLP
Since the start of 2018, state and, to a lesser extent, federal courts around the country, as well as state legislatures and Congress,
Pryor Cashman LLP
On September 30, 2019, Block.one became the most recent startup to settle with the SEC over an initial coin offering ("ICO").
Shearman & Sterling LLP
Corporate boards and executives continuously strive to identify and manage the key drivers of corporate performance.
Kirkland & Ellis International LLP
The SEC's Division of Corporation Finance announced that, starting with the 2019-2020 proxy season, it may issue oral rather than written guidance for some requests to exclude Rule 14a-8 shareholder
Proskauer Rose LLP
The trend of direct lenders providing preferred equity financing to support sponsors and operating companies has only accelerated in the two years since we first wrote on the topic (available here).
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