Mondaq USA: Corporate/Commercial Law > Securities
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
The U.S. IPO market began 2017 with a solid start, with 25 IPOs raising nearly $10 billion in the first quarter and another 31 IPOs in the second quarter through May 15.
Cadwalader, Wickersham & Taft LLP
The SEC named Robert Stebbins as General Counsel. Previously, Mr. Stebbins was a partner at Willkie Farr & Gallagher.
Cadwalader, Wickersham & Taft LLP
The SEC charged two former traders for Nomura Securities International Inc. ("Nomura") with securities fraud.
Cadwalader, Wickersham & Taft LLP
As a part of its retrospective review process, FINRA requested comments on Rules 3270 ("Outside Business Activities of Registered Persons") and 3280 ("Private Securities Transactions...
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
In an April 28, 2017 ruling on a motion to dismiss in the In re Valeant Pharmaceuticals International, Inc. Securities Litigation, the U.S. District Court for the District of New Jersey...
Cadwalader, Wickersham & Taft LLP
FINRA proposed changing Rule 7730 (Trade Reporting and Compliance Engine ("TRACE")) to reduce the delay period for its transaction-level data set offering from 18 months to 6 months.
Cadwalader, Wickersham & Taft LLP
Click on the links below to view SEC notices of exchange rule changes and proposals for the week of May 8 to May 12, 2017.
Morrison & Foerster LLP
In the May 10, 2017 dialogue held by the SEC's Division of Economic and Risk Analysis and New York University's Stern School of Business, academics and industry representatives provided...
Morrison & Foerster LLP
Former Acting Chair and current SEC Commissioner Michael Piwowar began the dialogue, reiterating the importance of making public capital markets available to businesses.
Cadwalader, Wickersham & Taft LLP
The SEC named Lucas Moskowitz as Chief of Staff. Mr. Moskowitz served previously as Chief Investigative Counsel of the U.S. Senate Committee on Banking, Housing and Urban Affairs.
Cadwalader, Wickersham & Taft LLP
SEC Commissioner Kara Stein discussed market integrity, the protection of investors, and responsiveness to technological advancements.
Cadwalader, Wickersham & Taft LLP
The FINRA Board of Governors approved several proposals to increase controls and sanctions with respect to "high-risk" brokers and the firms that employ them.
Cadwalader, Wickersham & Taft LLP
The SEC Advisory Committee on Small and Emerging Companies (the "Committee") debated several regulatory issues relating to the capital-raising activities of small issuers.
Cadwalader, Wickersham & Taft LLP
FINRA published Regulatory Notice 17-19, detailing changes to FINRA rules to conform them to the SEC's amended Exchange Act Rule 15c6-1(a)...
Vedder, Price P.C.
On April 25, 2017, the U.S. District Court for the Northern District of Illinois issued an order denying the plaintiffs' motion to compel Calamos Investment Trust, a Massachusetts business trust,...
Vedder, Price P.C.
On March 22, 2017, the SEC adopted an amendment to the settlement cycle rule under the Securities Exchange Act to shorten the standard settlement cycle for most broker-dealer securities...
Cadwalader, Wickersham & Taft LLP
Members of the North American Securities Administrators Association ("NASAA") voted to implement a Statement of Policy regarding the use of electronic subscription agreement and offering documents...
Cadwalader, Wickersham & Taft LLP
SEC Commissioner Michael Piwowar expressed a commitment to support businesses in their capital-raising activities while also ensuring that rules and regulations operate effectively and as intended.
Kramer Levin Naftalis & Frankel LLP
Jay Clayton was sworn in as chairman of the SEC after the Senate voted 61 to 37 to approve President Trump's nomination.
Cadwalader, Wickersham & Taft LLP
The SEC is making amendments to Forms ADV and ADV-W that reflect the enactment of a Wyoming state law regulating investment advisers, who use the forms to register and withdraw...
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Arnold & Porter Kaye Scholer LLP
While closed-end real estate private equity funds (Real Estate Funds) are generally structured similarly to traditional private equity funds, there are several key differences.
Shearman & Sterling LLP
On 5 April 2017, the European Parliament voted to adopt the Commission's proposed new Prospectus Regulation, which repeals and replaces the existing Prospectus Directive (2003/71/EC)...
Vedder, Price P.C.
On April 25, 2017, the U.S. District Court for the Northern District of Illinois issued an order denying the plaintiffs' motion to compel Calamos Investment Trust, a Massachusetts business trust,...
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
In an April 28, 2017 ruling on a motion to dismiss in the In re Valeant Pharmaceuticals International, Inc. Securities Litigation, the U.S. District Court for the District of New Jersey...
Morrison & Foerster LLP
Today, FINRA issued three Regulatory Notices requesting comments on proposed changes to various rules relating to financing transactions.
Shearman & Sterling LLP
In this newsletter, we provide a snapshot of the principal Asian, US, European and selected international governance and securities law developments of interest to Asian corporates...
Arnold & Porter Kaye Scholer LLP
On April 18, 2017, the United States Supreme Court heard oral argument in Kokesh v. SEC to determine whether disgorgement of ill-gotten gains in civil actions brought by the SEC is subject to a five-year statute of limitations period...
Morrison & Foerster LLP
The C&DI also noted that an issuer must still comply with all applicable state securities law requirements.
Morrison & Foerster LLP
The SEC announced that the next meeting of the Advisory Committee on Small and Emerging Companies will be held on Wednesday, May 10, 2017, beginning at 9:30 a.m.
Barclay Damon LLP
In a unanimous decision, the United States Supreme Court recently upheld an insider trading conviction, holding that a jury may infer a personal benefit when an insider discloses confidential information to a trading friend or relative.
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