Mondaq USA: Corporate/Commercial Law > Securities
BakerHostetler
On November 28, 2017, the United States Supreme Court heard oral argument on whether whistleblowers are entitled to protection from retaliation under Section 922 of the Dodd-Frank Wall Street Reform and...
Carlton Fields
A California District Court granted certification to a group of SeaWorld investors in a shareholder securities fraud case following the release of the documentary "Blackfish."
Troutman Sanders LLP
On November 13, the U.S. Court of Appeals for the Eleventh Circuit affirmed the imposition of joint and several liability on a payment processor that had provided "substantial assistance" to another entity ...
Cadwalader, Wickersham & Taft LLP
A Seattle-based therapist, Kenneth Peer, agreed to settle SEC charges of insider trading based on information he obtained from a patient during a confidential counseling session.
Cadwalader, Wickersham & Taft LLP
The SEC temporary final rule modifying its approach to filing requirements for Form N-PORT was published in the Federal Register.
Cadwalader, Wickersham & Taft LLP
The SEC named Kenneth A. Johnson as Chief Operating Officer ("COO"). Mr. Johnson has been the Acting COO since February 2017.
Morrison & Foerster LLP
In NASDAQ Private Markets' recent video blog, Anna Pinedo highlights the available private placement exemptions and the factors that companies should consider when contemplating a private placement, ...
Cadwalader, Wickersham & Taft LLP
The SEC Division of Investment Management (the "Division") granted no-action relief to a closed-end management investment company (PIMCO Dynamic Income Fund) (the "Fund")...
Cadwalader, Wickersham & Taft LLP
The SEC explained that the rulemaking process generally involves (i) a proposing release, in which the SEC discusses and shares the text of a proposed new rule or rule amendment...
Cadwalader, Wickersham & Taft LLP
Smaller fund groups will be required to begin submitting reports on Form N-PORT by April 2020.
Cadwalader, Wickersham & Taft LLP
The OIEA instructed investors to carefully consider which services are encompassed by a particular wrap fee agreement.
Cadwalader, Wickersham & Taft LLP
Each fund tracks, or will track, the performance of an underlying index.
Sheppard Mullin Richter & Hampton
The SEC issued a cease and desist order against Munchee's $15 million ICO
Sheppard Mullin Richter & Hampton
On December 11, 2017, the U.S Securities and Exchange Commission ("SEC") issued a cease and desist order ("Order") against Munchee, Inc.'s ("Munchee") $15 million Initial Coin Offering ("ICO").
Cadwalader, Wickersham & Taft LLP
The SEC approved an MSRB proposal to amend MSRB Form G-45 to require the underwriters of (i) college savings plans implemented in accordance with Section 529 of the Internal Revenue Code...
Cadwalader, Wickersham & Taft LLP
SEC Commissioner Kara Stein described the current exchange-traded product ("ETP") marketplace and discussed how regulators can best keep up with significant market developments.
Cadwalader, Wickersham & Taft LLP
Munchee Inc., a California-based restaurant review company, shut down its ICO and issued refunds to investors after the SEC issued a cease-and-desist order for failing to register the tokens as a security.
Cadwalader, Wickersham & Taft LLP
SEC Chair Jay Clayton asserted that ICOs are likely to involve the sale of assets that qualify as securities, and urged investors to proceed with caution when considering ICO or cryptocurrency-related investments.
Reed Smith
The CFTC nevertheless asserted its general jurisdiction over commodities under the Commodity Exchange Act.
Reed Smith
The meeting featured presentations from five subject-matter experts.
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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.
Cadwalader, Wickersham & Taft LLP
On Nov. 16, 2017, the House of Representatives passed its tax reform bill, titled the ‘‘Tax Cuts and Jobs Act.'' On Nov. 21, 2017, the Senate Finance Committee released the legislative text of its own version of the tax reform bill, which differs in several ways from the House bill.
Shearman & Sterling LLP
Death, taxes and proxy season. Although it may seem like you just filed your 2017 proxy, the 2018 proxy season is on the horizon.
Arnold & Porter Kaye Scholer LLP
The Ninth and Second Circuits applied Chevron deference to the SEC's interpretive rule that individuals are not required to report to the SEC to be entitled to Dodd-Frank anti-retaliation protections.
Morrison & Foerster LLP
On November 14, 2017, SEC Chief Accountant Wesley R. Bricker gave remarks before the Financial Executives International 36th Annual Current Financial Reporting Issues Conference.
Proskauer Rose LLP
Yesterday afternoon, the House of Representatives passed the Tax Cuts and Jobs Act (H.R. 1). The House bill is identical to the draft bill approved by the House Ways and Means Committee on November 10.
Ropes & Gray LLP
What should we expect from the U.S. Securities and Exchange Commission regarding the status of new and existing initiatives by Congress and SEC policy, and how will it affect disclosure...
Morrison & Foerster LLP
At the PLI Securities Regulation Institute, Mark Kronforst, the SEC's Division of Corporation Finance ("Corp Fin") Chief Accountant...
BakerHostetler
On October 25, 2017, the Hedge Fund Industry Practice team hosted an event at the New York Yacht Club titled "Chair Clayton's Impact at the SEC.
Kramer Levin Naftalis & Frankel LLP
On Sept. 29, 2017, the Securities and Exchange Commission (SEC) brought an emergency enforcement action against Maksim Zaslavskiy, REcoinGroup Foundation LLC (REcoin) and DRC World Inc., ...
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