Mondaq USA: Corporate/Commercial Law > Securities
Morrison & Foerster LLP
The U.S. Department of the Treasury ("Treasury Department" or "Treasury") issued its second report (of four reports), titled "A Financial System that Creates Economic Opportunities, Capital Markets" (the "Report").
Kramer Levin Naftalis & Frankel LLP
Andrew M. Calamari, director of the SEC's New York Regional Office, will leave the agency this month after 17 years of service.
BakerHostetler
Last week, the Securities and Exchange Commission (SEC) provided additional guidance for complying with the pay ratio disclosure requirements adopted under the Dodd-Frank Act that take effect in 2018.
Ropes & Gray LLP
On October 11, 2017, at the first open meeting under Chairman Jay Clayton's tenure, the SEC proposed amendments to modernize and simplify certain disclosure requirements in Regulation S-K.
Cadwalader, Wickersham & Taft LLP
The former CEO and co-founder of investment firm F-Squared Investments, Inc. was found liable for violating federal securities laws in relation to allegations he misled investors...
Cadwalader, Wickersham & Taft LLP
The SEC approved proposed FINRA amendments to (i) consolidate the NASD and NYSE incorporated registration rules for associated persons as FINRA rules,
Morrison & Foerster LLP
Practising Law Institute's Exempt and Hybrid Securities Offerings is the first practical, accessible resource to provide you with comprehensive legal, regulatory, and procedural guidance regarding...
Morrison & Foerster LLP
On October 2, 2017, Congressmen Ted Budd (R-NC) and Gregory Meeks (D-NY) introduced a bipartisan bill, H.R. 3903, in the U.S. House of Representatives.
Ropes & Gray LLP
Two months after warning investors that some digital tokens or coins may qualify as securities under the federal securities laws, the SEC on September 29, 2017 brought its first enforcement action...
Ropes & Gray LLP
Two months after warning investors that some digital tokens or coins may qualify as securities under the federal securities laws, the SEC on September 29, 2017 brought its first enforcement action in connection with an ICO.
Carlton Fields
Loss resulting from a financial planner's advice subjects a financial planner to fiduciary duty liability.
Proskauer Rose LLP
The SEC's pay-to-play rule has given advisers reason to worry about potential foot faults since its adoption. As we have noted in prior posts, the rule is filled with landmines and is therefore difficult to navigate.
BakerHostetler
Since the passage of the Dodd-Frank Act in 2010, the securities defense bar has voiced concern that the Securities and Exchange Commission (SEC) receives an unconstitutional and inherently unfair...
Cadwalader, Wickersham & Taft LLP
The U.S. House of Representatives passed a bill to expand the ability of banks to treat municipal securities as high-quality liquid assets.
WilmerHale
Fund board directors may be wondering what to expect from the new leaders of the Securities and Exchange Commission.
Carlton Fields
In July, the SEC issued a report addressing the applicability of U.S. federal securities laws to the offer and sale of securities by "virtual corporations or capital raising entities that use distributed ledger...
Jones Day
The popularity of initial coin offerings ("ICOs") has grown significantly in 2017. This year alone, roughly the equivalent of US$2 billion in capital has been raised through ICOs.
Ropes & Gray LLP
On Friday, October 6, the Treasury Department issued a report to the President on streamlining and reforming U.S. capital market regulation.
The McLane Law Firm
Not-for-profit organizations are in some ways financed much like business organizations. Frequently, not-for-profit organizations borrow money and grant security interests in their property.
Pryor Cashman LLP
A startling trend has recently emerged in the cryptocurrency industry. Since July 2017, the U.S. Securities and Exchange Commission (SEC) has regularly begun asserting itself in this space.
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Wilson Elser Moskowitz Edelman & Dicker LLP
Cited as one of the largest incidents of its kind in history, the recent Equifax data breach underscores that every business and individual is vulnerable to theft of sensitive information by unscrupulous hackers.
Lowndes, Drosdick, Doster, Kantor & Reed, P.A.
According to the National Association of Corporate Directors ("NACD"), "there are number of things that Boards need to do as the number and magnitude of business risks increase."
Sheppard Mullin Richter & Hampton
Many privately held companies rely on equity compensation awards (typically stock options) to recruit, retain and motivate key employees and other service providers.
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The final regulations implementing the Volcker Rule, which were proposed by the responsible U.S. federal agencies—the Board of Governors of the Federal Reserve System (Federal Reserve)...
Reed Smith
The spot market for digital tokens, which was once a "wild west" seemingly outside the scope of most federal regulations, is being integrated into the emerging Federal and State regulatory regime.
Jones Day
Courts have repeatedly recognized that not all trading on material, nonpublic information runs afoul of insider trading law.
Cadwalader, Wickersham & Taft LLP
In testimony before the U.S. Senate Banking Committee, SEC Chair Jay Clayton outlined the SEC's broad regulatory agenda.
Ropes & Gray LLP
Two months after warning investors that some digital tokens or coins may qualify as securities under the federal securities laws, the SEC on September 29, 2017 brought its first enforcement action in connection with an ICO.
Pryor Cashman LLP
Tokens issued in the ICOs were purportedly backed by investments in real estate and diamonds.
Cadwalader, Wickersham & Taft LLP
The SEC Division of Trading and Markets provided no-action relief allowing a broker-dealer to treat exchange-traded fund ("ETF") creation and redemption requests for certain "covered" ETFs in the same...
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