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Searching Content indexed under Securities by Orrick ordered by Published Date Descending.
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1
Still Waiting: SEC Again Delays Approvals Of Bitcoin ETFs
As further evidence of the SEC's resistance to the development of a regulated secondary market in bitcoin, on August 12 it delayed making a decision on three additional bitcoin exchange-traded fund (ETF) proposals.
United States
23 Aug 2019
2
'40 Act Leeway For Mortgage REITS And Others
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.
United States
21 Aug 2019
3
SEC Proposes To Modernize Disclosures Of Business, Legal Proceedings And Risk Factors Under Regulation S-K
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.
United States
21 Aug 2019
4
Playing Catch-Up: Commissioner Peirce Proposes A Safe Harbor For Certain Token Offerings
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.
United States
21 Aug 2019
5
The SEC's Second No-Action Relief For Digital Tokens: Meaningful Relief Or A Wolf In Sheep's Clothing?
Pocketful of Quarters, Inc. (PoQ) is the second-ever recipient of no-action relief from the Division of Corporation Finance of the Securities and Exchange Commission for the issuance of "Quarters."
United States
9 Aug 2019
6
8 conséquences pratiques de l'entrée en vigueur du Règlement Prospectus
Le 21 juillet 2019 sont entrées en vigueur les dernières dispositions du règlement n°2017/1129 du Parlement européen et du Conseil du 14 juin 2017 concernant le prospectus à publier en cas d'offre au public de valeurs mobilières ...
France
9 Aug 2019
7
Russian roulette clause negli statuti: arriva il sí anche del Consiglio Notarile di Milano
Non è raro che nelle vicende societarie ci si possa ritrovare in situazioni di stallo decisionale (c.d. deadlock): è il caso ad esempio, delle S.r.l. in cui le partecipazioni sono detenute al 50% da due soci, ...
Italy
9 Aug 2019
8
The SEC's Second No-Action Relief For Digital Tokens: Meaningful Relief Or A Wolf In Sheep's Clothing?
Considered as a whole, these conditions are so restrictive and duplicative that they raise doubt as to the necessity of the relief.
United States
8 Aug 2019
9
Regulators Offer Insights Into SEC, CFTC, And OSHA Whistleblower Program's Trends And Priorities
On July 16, 2019, three prominent whistleblower law regulators spoke at PLI's Corporate Whistleblowing in 2019, which was co-chaired by Orrick partners Mike Delikat and Renee Phillips.
United States
6 Aug 2019
10
SEC Staff Observation From Examinations Of Investment Advisers
On July 23, the SEC Office of Compliance Inspections and Examinations published a Risk Alert on its "Observations from Examinations of Investment Advisers: Compliance, Supervision, and Disclosure of Conflicts of Interest."
United States
31 Jul 2019
11
SEC/FINRA Joint Statement On Digital Asset Securities Does Not Address Regulatory Log Jam
Last week, the Staffs of the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) (collectively, the Staffs)
United States
29 Jul 2019
12
SEC Adopts New Rules Affecting Security-Based Swap Dealers And Major Security-Based Swap Participants
On June 21, the Securities and Exchange Commission (SEC) adopted new rules and rule amendments to establish capital, margin and segregation requirements under Title VII of the Dodd-Frank Act.
United States
15 Jul 2019
13
ESMA Writes To European Commission On Delaying Review Of Certain Mifid II Transparency Requirements
On June 25, the European Securities and Market Authority (ESMA) published a letter (dated June 17) sent by Steven Maijoor, ESMA Chair
United States
15 Jul 2019
14
The SEC Can't Keep Kik-Ing The Crypto Can
On June 4, 2019, the SEC sued Kik Interactive Inc. ("Kik"), a privately held Canadian company, in the Southern District of New York,
United States
9 Jul 2019
15
ESMA Publishes Final Report On Frequent Batch Auctions For Equity Instruments Under MIFID II
On June 11, the European Securities and Markets Authority (ESMA) published its final report (ESMA70-156-1035) following a call for evidence on frequent batch auctions, a type of periodic
United States
8 Jul 2019
16
The SEC's Reg BI – A Completely New Standard Or Tinkering Around the Edges?
Last week, the Securities and Exchange Commission (SEC) voted to adopt what is popularly known as "Regulation Best Interest" (often referred to as "Reg BI").
United States
24 Jun 2019
17
SEC Adopts Rules And Interpretations To Enhance Protections And Preserve Choice For Retail Investors In Their Relationships With Financial Professionals
The U.S. SEC adopted and clarified a number of rules intended to improve the relationships between retail investors, investor advisers and broker-investors, while also maintaining retail investors' access to...
United States
19 Jun 2019
18
Cryptoassets Taskforce: Cryptoasset Regulation May Be Coming
The regulation of cryptoassets is a question that has been troubling lawmakers and regulators across the globe.
UK
17 Jun 2019
19
Dragged To The U.S. Courts (Part 1): Jurisdiction And The Location Of Blockchain Nodes
Following the 2017 ICO boom and the more recent declines in cryptocurrency prices, blockchain-related litigation has substantially increased.
United States
17 Jun 2019
20
"Open For Business" Mantra Takes Hold – And SEC Streamlines
Recent developments demonstrate that the SEC Staff is taking to heart the "Open for Business" mantra propagated by political appointees from the recent change in administrations.
United States
13 Jun 2019
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