Mondaq USA: Corporate/Commercial Law > Securities
Orrick
The SEC Investment Management Division published a no-action letter on August 15 addressed to Redwood Trust that provides a certain degree of Section 3(c)(5)(C) compliance leeway for mortgage REITs and mortgage bankers.
Orrick
On August 8, the SEC announced that it has voted to propose rule amendments to modernize and simplify certain disclosures required pursuant to Regulation S-K since the regulation was first adopted over 30 years ago.
Shearman & Sterling LLP
On August 12, 2019, Judge Haywood S. Gilliam, Jr. of the United States District Court for the Northern District of California dismissed without leave to amend a putative securities class action against a pharmaceutical company...
Thompson Coburn LLP
The SEC proposed sweeping rule changes to enhance disclosures for investors and streamline compliance for public companies. These changes would impact the following fundamental Regulation S-K items:
Foley Hoag LLP
On July 23, 2019, the Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) released
Orrick
SEC Commissioner Hester Peirce has once again earned her title as "Crypto Mom" by expressing support for building a "non-exclusive safe harbor" for the offer and sale of certain cryptocurrency tokens.
Kramer Levin Naftalis & Frankel LLP
On March 20, 2019, the Securities and Exchange Commission issued a release[1] (the Release) adopting amendments to Regulation S-K in an effort to modernize and simplify disclosure requirements
Cooley LLP
According to this recent study from consulting firm McKinsey, investors want to see a different kind of sustainability reporting.
Ostrow Reisin Berk & Abrams
Plan sponsors of qualified retirement plans, such as 401(k) plans, are required to provide certain information to plan participants. Although plan sponsors often rely on recordkeepers,
Gibson, Dunn & Crutcher
The rate of new securities class action filings appears to be stabilizing, but that does not mean 2019 has been lacking in important developments in securities law.
Cleary Gottlieb Steen & Hamilton LLP
Its August 8, 2019 proposal addresses simplification of three items in Regulation S-K that have not been revised for more than 30 years:
BakerHostetler
This week, the U.S. Securities and Exchange Commission (SEC) issued to Pocket Full of Quarters Inc. (PoQ) a no-action letter related to PoQ's distribution of its Quarters product, an ERC20 token.
BakerHostetler
On June 5, 2019, the Securities and Exchange Commission (SEC) voted to adopt a highly anticipated set of rules addressing the standard of conduct of registered investment advisers
BakerHostetler
On June 18, 2019, the Securities and Exchange Commission (SEC) requested public comment on "Harmonization of Securities Offerings Exemptions"
Mayer Brown
Rule 502(c) ("Rule 502(c)") of the Securities Act of 1933, as amended (the "Securities Act"), prohibits an issuer from offering or selling securities by any form of general solicitation or general advertising when conducting certain
Foley Hoag LLP
The SEC recently proposed revisions to Regulation S-K to streamline public companies' disclosures of their business operations, risk factors and legal proceedings.
Akin Gump Strauss Hauer & Feld LLP
In an effort to reduce compliance costs for public companies, the Securities and Exchange Commission (SEC) proposed amendments
Cadwalader, Wickersham & Taft LLP
The Cabinet Regulatory Tracker is a list of comment deadlines, compliance dates, effective dates and delayed actions.
Cadwalader, Wickersham & Taft LLP
Federal Register: SEC Codifies Exemption to Rating Agency Disclosure Obligations.
Cadwalader, Wickersham & Taft LLP
To settle the charges, Canaccord Genuity LLC agreed (i) to a censure and (ii) to pay a civil money penalty in the amount of $250,000.
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Shearman & Sterling LLP
On 29 March 2019, ESMA updated its Q&A documents in relation to the implementation of the Market Abuse Regulation (MAR) and the Alternative Investment Fund Manager Directive (AIFMD).
Proskauer Rose LLP
On June 4, 2019, the U.S. Securities and Exchange Commission (the "SEC") filed a complaint in the Southern District of New York against Kik Interactive Inc. ("Kik") alleging violations of Section 5 of the Securities Act of 1933 (the "Securities Act").
DLA Piper
On June 5, 2019, the Securities and Exchange Commission adopted Regulation Best Interest (Reg BI) and Form CRS.
Ropes & Gray LLP
Also, they or their private funds may instead have obligations under other similar regulations.
Ropes & Gray LLP
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
Mayer Brown
The minimum content requirements for issuer and securities disclosures remain essentially unchanged.
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.
Morrison & Foerster LLP
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important international anti-corruption developments
DLA Piper
One of the big corporate governance related stories last month was the settlement agreement between the Securities and Exchange Commission (SEC) and Facebook Inc. arising from the misuse of Facebook user data and disclosures...
Cadwalader, Wickersham & Taft LLP
A global technology company and its subsidiary settled SEC and DOJ charges for violating the books and records, and internal accounting controls provisions of the Foreign Corrupt Practices Act ("FCPA").
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