Searching Content indexed under Commodities/Derivatives/Stock Exchanges by Sheppard Mullin Richter & Hampton ordered by Published Date Descending.
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CFTC Allows Certain Dealers And Merchants To Avoid Annual Privacy Notice
Beginning May 28, 2019 certain dealers and merchants will be able to avoid sending out an annual privacy notice, under a revision the Commodity Futures Trading Commission
United States
27 May 2019
Where Is The Love? Exchanges Sue SEC Over Market Access Fee Pilot Program
Three prominent trading exchanges did not exactly show their government overseer the love this Valentine's week.
United States
8 Mar 2019
Expansion Of Regulation A To Reporting Companies: Increased Alternatives Now Available To Public Companies Seeking To Raise Capital Or For Mergers And Acquisitions
On December 19, 2018, the SEC announced that it had adopted final rules that allow reporting companies to rely on the Regulation A exemption from registration for their securities offerings.
United States
7 Feb 2019
CFTC Cryptocurrency Enforcement Receives Further Judicial Support
The Commodity Futures Trading Commission ("CFTC") obtained an important court win and boost to its regulatory authority over Cryptocurrencies this month
United States
15 Oct 2018
SEC Tightens Alternative Trading Platform Oversight
On July 18, 2018, the SEC ramped up its oversight of alternative trading systems ("ATSs") by adopting a series of rule amendments imposing public disclosure requirements ...
United States
1 Oct 2018
South Korea Steps Up Oversight Of Cryptocurrency Exchanges
In January 2018, the Korea Financial Intelligence Unit ("KoFIU") and the Financial Supervisory Service ("FSS") conducted a joint inspection of six Korean banks that provide trading accounts for cryptocurrency exchanges.
South Korea
9 Apr 2018
The SEC And ICOs: Putting The SEC's Determination That DAO Tokens Are Securities In Context
The SEC has been watching the increase in ICOs for some time, and for good reason. The New York Times reported that $1.1 billion has been raised this year by companies, foundations, and decentralized autonomous organizations selling digital coins or tokens ...
United States
18 Aug 2017
Under Delaware Law, The Occurrence Of Alleged Illegal Conduct At A Company Is Not Enough To Plead Demand Futility Sufficient To Give Stockholders Standing To Sue Derivatively
In a shareholder derivative action, to survive a motion to dismiss for failure to plead facts showing demand futility, a derivative plaintiff must plead particularized facts showing either actual involvement by a majority of the board in illegal conduct or conduct amount to an intentional dereliction of duty.
United States
25 Jul 2017
European Commission Blocks Merger Of London Stock Exchange And Deutsche Börse
On 29 March 2017, the same day that United Kingdom has officially launched the Brexit process, the European Commission (Commission) blocked the proposed 29 billion Euro merger between Deutsche Börse AG (DBAG) and London Stock Exchange Group (LSEG)...
European Union
13 Apr 2017
SNAP Inc., the parent company of Snapchat, went public yesterday with a valuation of approximately $33.4 billion.
United States
14 Mar 2017
Fantasy Stock Picking Contest Deemed By SEC To Be Illegal Security-Based Swaps
The SEC shut down a "fantasy" stock picking game for allegedly violating securities laws.
United States
24 Oct 2016
REGULATORS, QUANT UP! New Rules From FINRA, SEC And CFTC Target Automated Algorithmic Trading
On February 11, 2016, the Financial Industry Regulatory Authority ("FINRA") filed a proposed rule with the Securities and Exchange Commission...
United States
7 Mar 2016
Forward To The Past: NYSE Returns To Regulation
On January 1, 2016, the New York Stock Exchange ("NYSE") – now owned by Intercontinental Exchange, Inc. – will be taking back some of the regulatory responsibilities it yielded...
United States
27 Nov 2015
A Change For The Better? The Arguments For And Against A Venture Exchange
With a total of 284 U.S. operating company IPOs in 2014, the U.S. securities market might appear to be on an upswing – after all, this was its biggest year since the dot com era ended in 2000.
United States
24 Apr 2015
Delaware Supreme Court Clarifies Law Regarding Standing Of Plaintiff-Shareholders To Bring A Post-Merger Double Derivative Action
In Lambrecht v. O’Neal, No. 135, 2010, 2010 WL 3397451 (Del. Aug. 27, 2010), the Supreme Court of Delaware answered a certified question of Delaware law from the United States District Court for the Southern District of New York regarding the standing of a plaintiff-shareholder of a parent corporation to bring a "double derivative" action following a merger.
United States
29 Oct 2010
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