Mondaq USA: Corporate/Commercial Law > Securities
Hunton Andrews Kurth LLP
The Council of Institutional Investors and Templum, Inc. each recently submitted comments to the SEC to call for the agency to embrace blockchain technology in a variety of contexts regarding the registration and transfer of securities.
Cadwalader, Wickersham & Taft LLP
In connection with the Share Class Selection Disclosure Initiative ("SCSDI"), the SEC settled charges against 79 investment advisers, who will collectively return over $125 million to clients.
Cadwalader, Wickersham & Taft LLP
The Financial Information Forum ("FIF") offered recommendations to streamline the Regulation ATS-N submission process
Mayer Brown
In a recent article, Edward Knight, the global chief legal and policy officer at Nasdaq Inc., offered his own views on reforms that would contribute to greater resiliency ...
Ropes & Gray LLP
This Ropes & Gray podcast series highlights developments in Washington, D.C., affecting private funds and their legal, regulatory and compliance obligations.
Mintz
The United States District Court of the District of Connecticut will soon decide whether a putative class member may intervene "for the limited purpose of tolling the statute of repose."
Jones Day
The SEC staff continues to evaluate self-reports received prior to the initiative cut-off date.
Shearman & Sterling LLP
The volume and variety of data available today is growing at a staggering pace, and costs of data storage and processing continue to fall.
Mayer Brown
As more countries propose and implement risk retention rules for securitisation transactions, a few Mayer Brown attorneys ...
Shearman & Sterling LLP
On March 5, 2019, the United States Court of Appeals for the Second Circuit affirmed the dismissal of a putative securities class action against Cigna and several of its officers.
Shearman & Sterling LLP
On March 1, 2019, the United States Court of Appeals for the Eighth Circuit reversed the dismissal of a class action arising from the merger of a biotechnical company ("Biotech Company") ...
Cadwalader, Wickersham & Taft LLP
In a "dialogue" held at Fordham University, SEC Chair Jay Clayton and Director of Division of Trading and Markets Brett Redfearn discussed (i) improving liquidity for thinly traded securities,
Mayer Brown
Earlier this week, Commissioner Peirce addressed a number of topics with the Council of Institutional Investors. Commissioner Peirce noted that the Securities and Exchange Commission
Gibson, Dunn & Crutcher
2018 witnessed even more securities litigation filings than 2017, in which we saw a dramatic uptick in securities litigation as compared to previous years.
Jones Day
Earlier this year, the Financial Industry Regulatory Authority released its 2019 Annual Risk Monitoring and Examination Priorities Letter.
Sheppard Mullin Richter & Hampton
As an expensive "slap on the wrist," the Securities and Exchange Commission ("SEC" or the "Commission") recently concluded that approximately $12.7 million worth of funds raised in a 2017
Mayer Brown
On February 28, 2019, the staff of the SEC's Division of Investment Management granted no-action relief in connection with the 1940 Act's in-person meeting requirements ...
Cadwalader, Wickersham & Taft LLP
The Federal Housing Finance Agency ("FHFA") issued a final rule intended to improve the liquidity of Fannie Mae and Freddie Mac To-Be-Announced ("TBA") ...
Womble Bond Dickinson
Initial Coin Offerings, or ICOs, have emerged at the intersection of cryptocurrencies and blockchain.
Womble Bond Dickinson
On July 27, 2018, the Treasury issued final regulations regarding substantiation requirements for cash and noncash charitable contributions. T.D. 9836 (2018).
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Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
Ruchelman PLLC
On August 8, 2018, the I.R.S. issued much-awaited proposed regulations under new Code §199A, which was added by the 2017 Tax Cuts and Jobs Act. The provision was initially discussed in detail in our February 2018 edition.
Jeffer Mangels Butler & Mitchell LLP
The SEC warns public companies that lax cybersecurity practices could violate rules governing internal accounting controls, and offer nine scams as cautionary tales.
Mayer Brown
RegTech may be particularly helpful as FINRA members begin to engage in electronic structured products trading platforms.
Shearman & Sterling LLP
It is now time for foreign private issuers to prepare their annual reports on Form 20-F. For companies with a calendar year-end, the Form 20-F must be filed with the U.S. Securities
Orrick
As a pioneer in DNA synthesis with several patents to her name, Dr. Emily Leproust could have enjoyed a distinguished career without ever leaving the lab.
Stites & Harbison PLLC
Since the enactment of the Opportunity Zone program over a year ago, the focus has been on gaining a better understanding of the workings of the program and its various applications.
Kramer Levin Naftalis & Frankel LLP
On Jan. 9, 2019, both the European Securities and Markets Authority (ESMA) and the European Banking Authority (EBA) published a report on crypto-assets.
Arnold & Porter
On January 24, former SAC Capital Advisors portfolio manager Mathew Martoma petitioned the Supreme Court to review his 2014 conviction for insider trading.
Mayer Brown
On January 22, 2019, FINRA issued its 2019 Risk Monitoring and Examination Priorities Letter1 (the "Letter") ...
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