Mondaq USA: Corporate/Commercial Law > Securities
Mayer Brown
At the Practising Law Institute's Annual Institute on Securities Regulation, a number of updates were provided by the Staff regarding ongoing initiatives within the Office of Small Business.
Jones Day
In July 2016, the SEC proposed rules designed to simplify the U.S. mining company disclosure regime.
Shearman & Sterling LLP
Partner Jay Baris (New York- Investment Funds) authored the article "E-Delivery Is Coming. Directors Should Prepare" in BoardIQ
Cadwalader, Wickersham & Taft LLP
SEC Enforcement Division Asset Management Unit Co-Chief Anthony S. Kelly will leave the agency prior to December 1, 2018.
Cadwalader, Wickersham & Taft LLP
SEC Commissioner Hester Peirce called on the agency to "resist" the distraction of focusing on achieving numerical and penalty amount targets with respect to enforcement actions.
Cadwalader, Wickersham & Taft LLP
The SEC will amend Regulation NMS Rules 600(b) and 606 to increase the transparency of broker-dealers' "handling and routing of orders in NMS stock."
Stroock & Stroock & Lavan LLP
As we discussed in our prior Stroock Special Bulletin (our "Prior Bulletin"),[1] Lender Management, LLC v. Commissioner of Internal Revenue, T.C. Memo. 2017-246 (2017) provides family offices...
Arnold & Porter
rotecting against data breaches, hacks and cyber threats is an unwelcome but necessary reality for businesses today.
Hunton Andrews Kurth LLP
On October 16, 2018, the Securities and Exchange Commission (SEC) issued a report of investigation entitled "Certain Cyber-Related Frauds Perpetrated Against Public Companies and Related Internal...
Stroock & Stroock & Lavan LLP
On August 17, 2018, the Securities and Exchange Commission (the "SEC") issued a release (the "Adopting Release") describing the adoption of amendments to Regulation S-K ...
Ruchelman PLLC
On August 8, 2018, the I.R.S. issued much-awaited proposed regulations under new Code ง199A, which was added by the 2017 Tax Cuts and Jobs Act. The provision was initially discussed in detail in our February 2018 edition.
Cooley LLP
On October 16, 2018, the Securities and Exchange Commission issued an investigative report signaling its intent to use sections 13(b)(2)(B)(i) and (iii) of the Securities Exchange Act of 1934 to pursue enforcement actions ...
Shearman & Sterling LLP
On October 31, 2018, the U.S. Securities and Exchange Commission (SEC) adopted a final rule
Shearman & Sterling LLP
The Company develops antibiotics to treat infectious diseases, and was working on developing and releasing solithromycin, a drug for community-acquired bacterial pneumonia.
Cadwalader, Wickersham & Taft LLP
In its second annual report, the SEC Enforcement Division (the "Division") highlighted significant enforcement actions filed in FY 2018, discussed key initiatives and described ongoing agency priorities.
Mayer Brown
On October 31, 2018, the US Securities and Exchange Commission ("SEC" or "Commission") issued a final rule (Final Rule) to modernize required property disclosures for mining registrants.
Shearman & Sterling LLP
On October 26, 2018, the United States Court of Appeals for the Second Circuit affirmed the dismissal of a putative securities class action under Sections 10(b) and 20(a) of the Securities Exchange...
Cadwalader, Wickersham & Taft LLP
The SEC Office of Investor Education and Advocacy ("OIEA") described the risks and benefits of variable life insurance. In a new Investor Bulletin ...
Reed Smith
This morning we attended the first public hearing held by the NJBOS concerning its pre-proposal to adopt a rule implementing a uniform fiduciary standard for investment professionals, including broker-dealers...
Mayer Brown
The Securities and Exchange Commission's Investor Advisory Committee will meet telephonically on November 7 at 2 p.m. Eastern Time.
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Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
Akin Gump Strauss Hauer & Feld LLP
On September 30, Governor Jerry Brown (D) signed a new California law requiring female presence on boards of public companies headquartered in California.
Ropes & Gray LLP
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
Mayer Brown
RegTech may be particularly helpful as FINRA members begin to engage in electronic structured products trading platforms.
Dentons
On September 13, 2018, the staff of the Division of Investment Management of the SEC withdrew letters previously issued in 2004 to Egan-Jones Proxy Services and Institutional Shareholder Services, Inc. ...
Holland & Knight
Four years ago, Brazilian authorities began Operation Car Wash, a wide-ranging and still ongoing corruption and money laundering investigation that has spanned 11 countries.
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.
Cadwalader, Wickersham & Taft LLP
The SEC Division of Corporation Finance agreed that common stock issued by a mutual water company organized pursuant to the California General Corporation Law is not a "security" for purposes of the Securities Act.
Proskauer Rose LLP
Former SDNY U.S. Attorney Preet Bharara and SEC Commissioner Jackson recently announced, via NY Times op-ed, the creation of the Bharara Task Force on Insider Trading.
BakerHostetler
According to reports, in an Oct. 3 meeting, representatives of U.S. Customs and Border Protection (CBP) claimed that the agency is testing a blockchain-based supply chain management system...
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