Mondaq USA: Corporate/Commercial Law > Securities
Cadwalader, Wickersham & Taft LLP
FINRA proposed amending FINRA Rule 7730 in order to begin offering a new TRACE Security Activity Report that would provide aggregated security-specific statistics for applicable corporate and agency bonds.
Orrick
Last week, proxy advisory firm ISS published its semi-annual report of the top 100 U.S. securities class action settlements and top 50 SEC settlements of all time, as of December 31, 2016.
Cadwalader, Wickersham & Taft LLP
IOSCO released a report on order routing incentives.
WilmerHale
Earlier this month, the Supreme Court ruled unanimously in Kokesh v. SEC1 that a claim for disgorgement arising from the violation of federal securities law constitutes a "penalty" for purposes of ...
Cadwalader, Wickersham & Taft LLP
On June 23, 2017, the North American Securities Administrators Association will hold a cybersecurity roundtable. Industry professionals and regulators will discuss: (i) the role of financial regulators...
Bressler, Amery & Ross, P.C.
Cooperman held a $46 million stock position in APL throughout most of 2009.
Bressler, Amery & Ross, P.C.
On June 8, 2017, the House of Representatives approved the Financial Choice Act of 2017 (H.R. 10) by a vote of 233 to 186.
Cadwalader, Wickersham & Taft LLP
The North American Securities Administrators Association ("NASAA") published a study of practices and procedures used by broker-dealers applicable to senior investors.
Orrick
According to Ken, who formerly served as an attorney in the SEC's Enforcement Division, the Commission has ramped up its cybersecurity enforcement in recent years.
Morrison & Foerster LLP
The SEC's Investor Advisory Committee has announced the agenda for its June 22 meeting.
Sullivan & Worcester LLP
Most in-house counsel of public companies are very familiar with the reporting obligations required by the trifecta – Form 8-Ks, Form 10-Qs and Form 10-Ks – but they oftentimes rely on outside counsel...
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
Our colleague Rebecca Zeidel just published a terrific blog posting on the U.S. Supreme Court's recent decision in Kokesh v. SEC, in which the Court imposed a five-year statute of limitations on ...
Cadwalader, Wickersham & Taft LLP
The SEC and the CFTC declined to issue a joint interpretation on whether a particular agreement is classified as a swap, security-based swap, or mixed swap.
Cadwalader, Wickersham & Taft LLP
The International Organization of Securities Commissions ("IOSCO") published a report on regulating the risks associated with misconduct in wholesale markets.
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
With the implementation of various provisions of the JOBS Act now mostly complete, the array of choices has increased exponentially and include crowd funding...
Vedder, Price P.C.
On May 17, 2017, the SEC's OCIE issued a Risk Alert to highlight the importance of conducting penetration tests and vulnerability scans on critical systems and implementing system upgrades...
Cadwalader, Wickersham & Taft LLP
In a recent memorandum, Cadwalader attorneys Jason Halper, Jodi Avergun, Joe Moreno, Lex Urban, Kendra Wharton and Aaron Buchman posited that the "Financial CHOICE Act of 2017"...
Milbank, Tweed, Hadley & McCloy LLP
Last week, the United States Supreme Court limited the US Securities and Exchange Commission's (SEC) power to seek disgorgement for violations of federal securities law
Cadwalader, Wickersham & Taft LLP
Click on the links below to view SEC notices of exchange rule changes and proposals for the week of June 5 to June 9, 2017.
Proskauer Rose LLP
The Amsterdam Court of Appeal denied approval of the €1.204 billion collective settlement of former Fortis (now Ageas) shareholders' claims unless the parties agree to restructure the allocation of the settlement amount ...
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Akin Gump Strauss Hauer & Feld LLP
Read the latest edition of Red Notice, a monthly update on global investigations and prosecutions that cross multiple jurisdictions. Red Notice focuses on developments related to anticorruption...
Kramer Levin Naftalis & Frankel LLP
On April 6, the 21st Century Glass-Steagall Act of 2017 (GSA) was introduced in the U.S. Senate by Elizabeth Warren, D-Mass., with John McCain, R-Ariz., Maria Cantwell, D-Wash. and Angus King...
Jones Day
Federal circuit courts had issued divergent rulings as to whether the SEC's disgorgement measures constituted a punitive or a remedial action.
Ropes & Gray LLP
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
Mayer Brown
Today, the Supreme Court issued three decisions, described below, of interest to the business community.
Pryor Cashman LLP
On June 5, 2017, the U.S. Supreme Court issued a unanimous opinion holding that disgorgement imposed by the SEC is a "penalty" subject to a five-year statute of limitations.
Vedder, Price P.C.
On May 17, 2017, the SEC's OCIE issued a Risk Alert to highlight the importance of conducting penetration tests and vulnerability scans on critical systems and implementing system upgrades...
Ropes & Gray LLP
The European Securities and Markets Authority ("ESMA") released an opinion today on supervisory convergence in the context of the UK withdrawing from the European Union ("EU").
Arnold & Porter Kaye Scholer LLP
On June 5, 2017, the United States Supreme Court unanimously held in Kokesh v. SEC that a five-year limitations period applies to disgorgement claims brought by the United States SEC...
Arnold & Porter Kaye Scholer LLP
The Ninth Circuit affirmed a district court's decision to dismiss a pension fund's putative securities class action in City of Dearborn Heights Act 345 Police & Fire Retirement System v. Align...
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