Mondaq USA: Corporate/Commercial Law > Securities
Cadwalader, Wickersham & Taft LLP
In a new report, the European Securities and Markets Authority ("ESMA") addressed the need for a uniform set of EU-wide regulations applicable to Initial Coin Offerings ("ICOs") and other crypto-assets.
Sheppard Mullin Richter & Hampton
In Sciabacucchi v. Salzberg, C.A. No. 2017-0931-JTL, 2018 WL 6719718 (Del. Ch. Dec. 19, 2018), the Delaware Court of Chancery (Laster, V.C.) held that a forum-selection provision in a Delaware
Duff and Phelps
The message associated with this settlement and penalty is clear.
Foley Hoag LLP
During this ever-lengthening government shutdown, it's easy to forget that 2018 was a big year for changes to the SEC's disclosure regime, which companies will need to keep in mind as they prepare their 2019 10-Ks and proxy statements.
Shearman & Sterling LLP
Reaching municipal advisors that have never been examined will continue to be a focus.
Mayer Brown
On January 10, 2019, the staff of NYSE Regulation released its annual memorandum detailing important rules and policies applicable to listed companies.
Proskauer Rose LLP
The company settled the action, agreeing to pay a civil money penalty of $100,000.
Cadwalader, Wickersham & Taft LLP
A broker-dealer agreed to settle FINRA charges for failing to supervise sales of variable annuities.
BakerHostetler
The SEC recently adopted a final rule requiring companies to disclose practices or policies related to the ability of employees and directors to engage in hedging transactions with respect to company equity securities...
Kramer Levin Naftalis & Frankel LLP
On Jan. 4, 2019, the Supreme Court granted certiorari in Emulex Corporation, et al., v. Varjabedian, a case teeing up the question ...
Cooley LLP
You may recall that at the end of last year, SEC Chair Jay Clayton and Corp Fin Chief Accountant Kyle Moffatt were warning at various conferences about some of the risks the SEC was monitoring, among them the LIBOR phase-out, ...
Cooley LLP
Much has been written about the problems associated with the prevalence of short-term thinking in corporate America.
Morrison & Foerster LLP
On January 4, 2019, the Pennsylvania Department of Revenue issued Corporation Tax Bulletin 2019-01 taking the position that receipts from hedging transactions, including those of a securities dealer, ...
Foley & Lardner
The U.S. Securities and Exchange Commission recently announced that it has approved final rules implementing Section 955 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
Kramer Levin Naftalis & Frankel LLP
The notion of distributed ledger was first introduced to French law in 2016 by Ordinance No. 2016-520 of April 28, 20161, which allows its use for the purpose of recording the issuance and sale of minibons.
Foley Hoag LLP
This past Boxing Day, the SEC delivered another reminder that it remains intensely focused on public companies' disclosure of non-GAAP financial measures.
Foley Hoag LLP
These rules were called for by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 but weren't proposed until February 2015.
Cadwalader, Wickersham & Taft LLP
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, effective dates, compliance dates and expiration dates.
Mayer Brown
On December 21, 2018, the Securities and Exchange Commission (the "SEC") appointed Martha Legg Miller as the Advocate for Small Business Capital Formation.
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
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Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
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.
Kramer Levin Naftalis & Frankel LLP
At a time when breaking norms has become the new normal, the recent battle between Tesla's charismatic chief executive, Elon Musk, and the Securities and Exchange Commission's regulatory...
Mayer Brown
RegTech may be particularly helpful as FINRA members begin to engage in electronic structured products trading platforms.
Pryor Cashman LLP
Pryor Cashman represented Boustead Securities, LLC, China Renaissance Securities (HK) Limited and AMTD Global Markets Limited ...
Cooley LLP
As you may recall, auditors of large accelerated filers will be required to report on CAMs—critical audit matters—in their auditor's reports for fiscal years ending on or after June 30, 2019...
Duane Morris LLP
On December 18, 2018, the SEC approved final rules requiring companies to disclose their practices or policies with respect to hedging transactions by officers and other employees as well as directors.
Cadwalader, Wickersham & Taft LLP
The CFTC issued a release that would make significant revisions to the regulatory requirements that apply under Part 37 of the CFTC Rules to the trading of swaps and to the market‑places that offer "exchange trading"...
Ropes & Gray LLP
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
Cooley LLP
Some of the remarks provided helpful guidance for evaluating internal control over financial reporting.
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