Mondaq USA: Corporate/Commercial Law > Securities
Sheppard Mullin Richter & Hampton
The SEC has been watching the increase in ICOs for some time, and for good reason. The New York Times reported that $1.1 billion has been raised this year by companies, foundations, and decentralized autonomous organizations selling digital coins or tokens ...
Foley Hoag LLP
The SEC also released an investor bulletin to educate and caution potential investors about this new and growing type of capital raising.
Cadwalader, Wickersham & Taft LLP
The SEC renewed the Equity Market Structure Advisory Committee (the "Committee") for a period of five months.
Cadwalader, Wickersham & Taft LLP
The SEC agreed to settle charges with a former hedge fund analyst accused of trading on nonpublic information (see previous coverage).
Barnes & Thornburg
On July 25, the U.S. Securities and Exchange Commission (SEC) issued its most comprehensive public guidance to date on digital assets such as cryptocurrencies and tokens.
Fenwick & West LLP
On Friday, August 4, 2017, a federal court jury in Brooklyn, New York, found Martin Shkreli, former CEO of biopharmaceutical company Retrophin, guilty on three of eight counts of securities fraud.
Cadwalader, Wickersham & Taft LLP
FINRA released a podcast summary of FINRA news, notices and compliance resources from July 2017. The podcast highlighted:
Cadwalader, Wickersham & Taft LLP
The SEC approved changes to the MSRB rule on customer account transfers.
Cadwalader, Wickersham & Taft LLP
The SEC noted that "on at least one occasion," the consultant's wife instructed him not to trade in her company's stock.
Morrison & Foerster LLP
On July 31, 2017, the NYSE amended its proposal, originally issued on March 13, 2017 and then withdrawn on July 19, 2017, to modify its listing qualifications to facilitate direct offerings.
Ropes & Gray LLP
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
Cadwalader, Wickersham & Taft LLP
The MSRB advised municipal securities issuers against designating or influencing the selection of an underwriter's counsel in the process of offering bonds.
Cadwalader, Wickersham & Taft LLP
The anti-abuse rule will continue to apply during the phase-in years.
Barnes & Thornburg
In his first public speech since becoming the U.S. Securities and Exchange Commission (SEC) chairman, Jay Clayton shared his eight core principles that he indicates will guide his oversight of the agency ...
BakerHostetler
Welcome to the 2017 Mid-Year Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team.
Morrison & Foerster LLP
On July 21, 2017, following last June's announcement that the Delaware House of Representatives had passed blockchain-related provisions proposing to amend several sections of the DGCL...
Sheppard Mullin Richter & Hampton
Blockchain technology ("Blockchain"), also known as Distributed Ledger Technology, stands poised to transform the future of the financial industry.
Morrison & Foerster LLP
The Howey test lives on—now in a lesson in what not to do when it comes to token offerings.
Shearman & Sterling LLP
On 5 June 2017, in Kokesh v. SEC, the US Supreme Court held unanimously that the ability of the SEC to seek disgorgement for violations of the federal securities laws is subject to a five-year statute of limitations.
Holland & Knight
The SEC's Report is a clear warning that ICOs offered or sold in the United States and digital assets traded in the U.S. may be subject to the federal securities laws.
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Morrison & Foerster LLP
The Howey test lives on—now in a lesson in what not to do when it comes to token offerings.
Morrison & Foerster LLP
On July 21, 2017, following last June's announcement that the Delaware House of Representatives had passed blockchain-related provisions proposing to amend several sections of the DGCL...
Sheppard Mullin Richter & Hampton
Blockchain technology ("Blockchain"), also known as Distributed Ledger Technology, stands poised to transform the future of the financial industry.
Proskauer Rose LLP
No blockchain phenomenon has garnered more attention lately than Initial Coin Offerings ("ICOs"), which have exploded in value and raised more than $1.2 billion thus far this year.
WilmerHale
An ICO, or initial coin offering, is the sale of virtual coins or tokens, often as a means of capital raising by startup companies that are involved in blockchain technology.
Shearman & Sterling LLP
On 7 April 2017, the European Commission published a consultation document on the conflict of laws rules for third party effects of transactions in securities and claims, in order to assess the practical problems...
Ropes & Gray LLP
What is in store at the SEC under new leadership? Jay Clayton was sworn in as the 32nd Chairman of the SEC on May 4.
Shearman & Sterling LLP
On 21 June 2017, in Stadnick v. Vivint Solar, Inc., the federal appeals court based in New York affirmed a lower court's decision dismissing claims under Section 11 of the Securities Act.
Shearman & Sterling LLP
On 5 June 2017, in Kokesh v. SEC, the US Supreme Court held unanimously that the ability of the SEC to seek disgorgement for violations of the federal securities laws is subject to a five-year statute of limitations.
Akin Gump Strauss Hauer & Feld LLP
Federal securities fraud class action filings have been on a meteoric rise over the past 18 months.
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