Mondaq USA: Corporate/Commercial Law > Securities
Cadwalader, Wickersham & Taft LLP
The Depository Trust & Clearing Corporation ("DTCC") identified continuing post-crisis risks and emerging threats and offered recommendations to improve the financial stability of the global financial industry.
Cadwalader, Wickersham & Taft LLP
FINRA reminded firms of trade reporting requirements when effecting OTC trades in equity securities on a "net basis."
Cadwalader, Wickersham & Taft LLP
In anticipation of an SEC Staff Roundtable on the proxy process, the SEC Division of Investment Management staff withdrew two no-action letters from 2004 regarding the Proxy Voting Rule.
Pryor Cashman LLP
On September 11, 2018, a Brooklyn federal court ruled that the government's case against Maksim Zaslavskiy
Mayer Brown
There appears to be significant interest on the part of smaller public companies in relying on the exemption.
Pryor Cashman LLP
In this vlog, Jeffrey Alberts, co-head of Pryor Cashman's FinTech Group, explains how securities laws apply to initial coin offerings and the significance of the court's decision.
Cadwalader, Wickersham & Taft LLP
A broker-dealer agreed to pay $2.75 million to settle SEC charges for failing to submit accurate and complete securities trading information on electronic blue sheets ("EBS").
Cadwalader, Wickersham & Taft LLP
SEC Chair Jay Clayton confirmed the SEC's "longstanding position" that staff statements to SEC-regulated institutions or stakeholders regarding rules or regulations are non-binding.
Cadwalader, Wickersham & Taft LLP
Elad L. Roisman was sworn in as SEC Commissioner. Mr. Roisman was confirmed by the U.S. Senate on September 5, 2018.
Cadwalader, Wickersham & Taft LLP
The U.S. District Court of the Eastern District of New York ruled that virtual currencies issued through an initial coin offering ("ICO") may constitute securities under the Securities Act and Exchange Act.
Cadwalader, Wickersham & Taft LLP
A Connecticut-based multinational corporation agreed to pay $13.9 million to settle SEC charges for violating the anti-bribery, books and records, and internal controls provisions of the Foreign Corrupt Practices Act.
Cadwalader, Wickersham & Taft LLP
The SEC charged a hedge funder adviser, his investment advisory firm and a Delaware-based company in a scheme to manipulate a stock price.
Cadwalader, Wickersham & Taft LLP
The SEC filed charges against a New Jersey-based broker for allegedly misusing his access to customers' brokerage accounts to enrich himself and two of his family members at the expense of his customers.
Cadwalader, Wickersham & Taft LLP
Several Democratic members of Congress called upon SEC Chair Jay Clayton to amend proposed Regulation Best Interest to require a uniform fiduciary standard for all broker-dealers and investment advisers.
Mayer Brown
On February 21, 2018, nearly seven years after the original issuance of guidance relating to disclosure of cybersecurity risks and cyber incidents, the Securities and Exchange Commission (SEC) ...
Morrison & Foerster LLP
In September 2018, the SEC fined a New York-based broker-dealer in connection with unsuitable sales of leveraged ETNs linked to the price of crude oil.
Mayer Brown
The September 7, 2018 Golub Capital BDC no-action letter (Golub letter) issued by the Division of Investment Management (IM) of the US Securities and Exchange Commission (SEC)
Cadwalader, Wickersham & Taft LLP
FINRA created a new Securities Industry Essentials ("SIE") examination and revised several of its representative-level qualification examinations.
Foley Hoag LLP
Related-party transactions are often easy to spot: the company is on one side of a contract, and a director or officer, or a company they control, is on the other side.
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
In the Ninth Circuit, defendants typically have two tools available to ask a court to consider in connection with a motion to dismiss information outside the four corners of a complaint.
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Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
Mayer Brown
The Securities and Exchange Commission's Chief Accountant, Wesley Bricker, addressed attendees at a conference of the Institute of Management Accountants. Mr. Bricker commented on the global nature of the capital markets.
Mayer Brown
The use of social media raises many securities law and compliance challenges for issuers, broker-dealers, and investment advisers.
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
BakerHostetler
On June 25, 2018, a divided panel of the United States Court of Appeals for the Second Circuit reaffirmed the insider trading conviction of a hedge fund portfolio manager in United States v. Martoma...
Cadwalader, Wickersham & Taft LLP
SEC amendments to enhance the disclosure requirements for alternative trading systems ("ATSs") that trade National Market System ("NMS") ...
Cooley LLP
You've got to just love the irony: the SEC's amendments mandating the use of Inline XBRL aren't even effective yet
Cadwalader, Wickersham & Taft LLP
The SEC Office of Investor Education and Advocacy ("OIEA") warned investors of risks associated with "self-directed" individual retirement accounts ("SD-IRAs").
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
In a decision with implications for the extraterritorial reach of the Foreign Corrupt Practices Act (FCPA), the U.S. Court of Appeals for the Second Circuit held in United States v. Hoskins ...
Mintz
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.
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