Mondaq USA: Corporate/Commercial Law > Securities
Orrick
In the past few years, the SEC has become increasingly active in bringing enforcement actions based on broker-dealers' alleged failures to comply with requirements of the Bank Secrecy Act (BSA) ...
Withers LLP
On June 28, 2018, the Securities and Exchange Commission ("SEC") considered whether to adopt an exchange traded fund ("ETF") ...
Duff and Phelps
After analyzing deficiency letters from over 1,500 investment adviser examinations, the SEC's Office of Compliance Inspections and Examinations released a risk alert regarding the most common deficiencies...
Cooley LLP
In this Reuters article, the author delivers the scoop that the SEC has shelved its 2016 proposal to mandate the use of universal proxy cards in contested elections of directors.
Kramer Levin Naftalis & Frankel LLP
Fund managers considering opportunities in permanent capital vehicles have a variety of alternatives to choose from.
Carlton Fields
The protection of senior investors continues to be a priority for FINRA, from both an examination and enforcement perspective.
Carlton Fields
Expect Focus - Life Insurance, Volume II, June 2018
Proskauer Rose LLP
The proposed amendment to entrepreneurs' relief ("ER") in Finance Bill 2019 is designed to address one of the outstanding issues with the current law when dilution of a company results in the loss of ER.
Cadwalader, Wickersham & Taft LLP
The SEC charged an individual from Virginia as a co-conspirator in a scheme to manipulate the price of certain issuer securities.
Cadwalader, Wickersham & Taft LLP
The U.S. Treasury Department's Office of Financial Research ("OFR") proposed a rule to require data collection that covers centrally cleared transactions in the U.S. repurchase agreement market.
Cadwalader, Wickersham & Taft LLP
The SEC Office of Compliance Inspections and Examinations ("OCIE") identified common deficiencies in investment advisers' compliance with "best execution" obligations.
Shearman & Sterling LLP
On July 6, 2018, the Financial Action Task Force published for consultation draft Risk-Based Approach Guidance for the securities sector.
Shearman & Sterling LLP
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms ...
McDermott Will & Emery
The Director of the SEC's Division of Corporation Finance William Hinman gave a speech in which he discussed whether a digital asset ...
Mayer Brown
A number of capital formation-related bills passed in the House this week with bipartisan support. These include:
Cooley LLP
This SEC Order, In the Matter of The Dow Chemical Company, is a great refresher—at Dow's expense, unfortunately for Dow—on the analysis required to determine whether or not certain expenses...
Arnold & Porter
n June 19, 2018, the Court of Appeals for the Second Circuit in Giunta v. Dingman, No. 17-1375-cv, 2018 WL 3028686 (2d Cir. Jun. 19, 2018) ...
Jones Day
Despite Equifax's use of a cover story to keep employees from learning it was the victim of a serious data breach, a then-employee allegedly figured it out and made illegal securities...
WilmerHale
In 2011, pursuant to authority granted under the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Securities and Exchange Commission (SEC or Commission) adopted rules implementing the whistleblower provisions of Section 21F of the Securities Exchange Act of 1934 (the Whistleblower Program).
WilmerHale
After 26 years and the issuance of over 300 exemptive orders, the Securities and Exchange Commission (SEC or Commission), through the rulemaking process, is seeking to simplify and streamline the regulatory process for new exchange-traded funds (ETFs) to reach the market, and to level the competitive playing field among existing ETFs.
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Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
Carlton Fields
As of this inaugural publication, there exists no uniformity with respect to how businesses that deal in virtual currencies (also known as "cryptocurrencies") such as Bitcoin are treated among the states.
Duff and Phelps
The ASU removes the trading or available-for-sale classifications for equity investments and eliminates reporting changes in fair value in other comprehensive income.
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
This case stems from alleged misstatement made by Volkswagen Group of America Finance ("VWGoAF") in an Offering Memorandum governing the issuance of three sets of bonds.
Cooley LLP
For those of you who have been waiting for those big changes to Dodd-Frank to materialize, don't hold your breath; at least as far as the SEC is concerned, the vast majority of those rules...
Shearman & Sterling LLP
On March 19, 2018, the SEC announced three multi-million dollar awards to whistle-blowers to reward them for reporting misconduct.
Mayer Brown
The use of social media raises many securities law and compliance challenges for issuers, broker-dealers, and investment advisers.
Mayer Brown
As we discussed in a prior post, Commissioner Jackson has spoken out on transactions undertaken by public company executives in close proximity to their companies' stock buybacks.
Mayer Brown
This Thursday, the SEC will hold an open meeting to consider, among other things, proposed amendments to the definition of "smaller reporting company", as well as proposed amendments to rules and forms requiring the use of Inline XBRL.
Proskauer Rose LLP
On June 4, we posted a summary of SEC Enforcement Co-Director Steven Peikin observations during his recent keynote address at the New York City Bar Association's 7th Annual White Collar Crime Institute
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