Mondaq USA: Corporate/Commercial Law > Securities
Duane Morris LLP
The new law reverses that and orders the SEC to change the rules to permit reporting companies to utilize Reg A+.
Duff and Phelps
This book also includes three intra-year quarterly updates.
Duff and Phelps
This book includes one semi-annual update with data through June and September.
Akin Gump Strauss Hauer & Feld LLP
On May 11, 2018, the U.S. Securities and Exchange Commission's (SEC) Division of Corporation Finance (the Division) consolidated and updated its interpretations of the proxy rules and Schedules 14A and 14C.
Cadwalader, Wickersham & Taft LLP
To do so, he said, required consideration of how a best interest standard would interact with a wide range of products, services and types of advice.
Cadwalader, Wickersham & Taft LLP
FINRA will amend its disclosure review procedure to more effectively assist member firms researching prospective hires as associated persons.
Cadwalader, Wickersham & Taft LLP
The SEC published for comment a proposed FINRA rule change that would implement fees for the late cancellation of a prehearing conference.
Cadwalader, Wickersham & Taft LLP
FINRA proposed a rule change with the SEC to modify the structure and governance of District Committees to reflect the regions in which FINRA's districts are administratively grouped and managed by FINRA.
Morrison & Foerster LLP
In this post, we discuss eight key items to consider before staging an ICO.
Duff and Phelps
This book also includes one semi-annual update with data through September.
Arnold & Porter
n May 11, the SEC's Division of Corporation Finance issued 45 proxy C+DIs to replace previous proxy interpretations set forth in its Telephone Interpretations Manual and March 1999 Supplement.
Akin Gump Strauss Hauer & Feld LLP
Beginning May 11, 2018, the new Financial Crimes Enforcement Network (FinCEN) customer due diligence rule (the "CDD Rule") will require covered financial institutions to identify...
Withers LLP
Approved by the SEC, the Amendments to the Financial Industry Regulatory Authority's Customer Confirmation Rule 2232 (the "Amended FINRA Rules") took effect on May 12, 2018.
Arnold & Porter
On April 20, 2018, the Court of Appeals for the Ninth Circuit held in Varjabedian v. Emulex Corp. that a violation of Section 14(e) of the Securities Exchange Act of 1934, 15 U.S.C. § 78n(e), ...
Cadwalader, Wickersham & Taft LLP
Click on the links to view SEC notices of exchange rule changes and proposals for the week of May 14 to May 18, 2018.
Cadwalader, Wickersham & Taft LLP
The MSRB stated that it proposed the Rule in order to improve consistency with other regulators and to clarify the applicable requirements.
Some interesting links we found across the web this week:
Cadwalader, Wickersham & Taft LLP
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines and effective dates.
Cadwalader, Wickersham & Taft LLP
SEC Designates Indian Stock Exchange as Offshore Securities Market.
Cadwalader, Wickersham & Taft LLP
The parties agreed to settle the charges without admitting or denying the SEC and FINRA findings.
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Carlton Fields
As of this inaugural publication, there exists no uniformity with respect to how businesses that deal in virtual currencies (also known as "cryptocurrencies") such as Bitcoin are treated among the states.
Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
Day Pitney LLP
The Securities and Exchange Commission (SEC) recently voted to propose standards of conduct for broker-dealers and investment advisers.
Foley & Lardner
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business.
Holland & Knight
Coinbase, one of the largest cryptocurrency exchanges, recently approached the U.S. Securities and Exchange Commission (SEC) about possible licensing as a broker-dealer.
Jeffer Mangels Butler & Mitchell LLP
The Securities and Exchange Commission (SEC) could be on target to make 2018 the year of cryptocurrency regulation—or at least the start of it.
Shearman & Sterling LLP
On 16 January 2018, the ESMA published an updated version of its practical guide to the national rules across the EEA on the notification of major holdings under the Transparency Directive.
Jones Day
As the price of bitcoin rose to unprecedented levels in 2017, regulators began focusing more enforcement resources on cryptocurrency offerings, both at the federal and state levels.
Cadwalader, Wickersham & Taft LLP
On April 18, the SEC approved the publication of three releases proposing new regulatory requirements that are intended to expand and clarify the duties that broker-dealers and investment advisers...
Cooley LLP
You, like me, may have been the recipient of many, many, many calls from various persons claiming to be from the IRS and threatening you with imprisonment.
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