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1
New York Commercial Division Justice Holds PSLRA Discovery Stay Applies To State Court Securities Act Class Actions
On August 6, 2019, New York Commercial Division Justice Andrew Borrok held that the discovery stay under the Private Securities Litigation Reform Act (PSLRA)
United States
15 Aug 2019
2
The SEC Adopts Security-Based Swap Rules Governing Capital, Margin And Segregation
On June 21, 2019, the SEC adopted a package of rules and rule amendments that set forth the capital, margin and segregation requirements for security-based swap dealers and major security-based swap participants.
United States
2 Aug 2019
3
House Financial Services Committee Introduces Legislation To Overhaul SEC Waiver Process
Over the past several weeks, competing views have emerged from Capitol Hill and the SEC over how the SEC should approach waivers of collateral consequences for parties that settle enforcement proceedings.
United States
29 Jul 2019
4
The Legend Of The "Secumodity": Can The Same Coin Be A Security Or Commodity At Different Points In Its Evolution?
In an article published in Futures and Derivatives Law Report, Petal P. Walker discusses the blurry line between a virtual currency and an investment contract.
United States
9 Jul 2019
5
Confidential Treatment Process Gets Easier
The SEC has approved rule changes that significantly simplify the process for public companies to redact confidential information from the exhibits required to be filed as part of SEC reports and registration statements.
United States
4 Jul 2019
6
SEC's Final Rules And Guidance On The Standards Of Conduct For Broker-Dealers And Investment Advisers
On June 5, 2019, the Securities and Exchange Commission approved a package of rulemakings and interpretations designed to enhance the quality and transparency of investors' relationships...
United States
18 Jun 2019
7
SEC Enforcement Alert: D.C. Circuit Rules Negligent Conduct Is Not "Willful"
On April 30, 2019, the D.C. Circuit issued an important decision in Robare Group, Ltd. v. SEC, Slip Op. No. 16-1453, which rejected the long-standing approach of the SEC that a "willful" violation of the federal securities laws ...
United States
7 Jun 2019
8
Insider Trading Law Alert: Better The Devil You Know? Tipping Liability, Martoma And The Rise Of 18 U.S.C. § 1348
This revised opinion changed the landscape of tipping jurisprudence, at least in the Second Circuit.
United States
6 Jun 2019
9
United States
6 Jun 2019
10
China Moves To Open Commodity Futures Trading To Foreign Participants
Alternatively, entities and individual investors that meet certain additional qualification requirements upon approval by the exchange may trade directly on the exchange.
China
6 Jun 2019
11
Federal Reserve Proposes Revisions To The Control Framework Under The Bank Holding Company Act
On April 23, 2019, the Federal Reserve Board ("Fed") issued a notice of proposed rulemaking proposing revisions to Regulations Y and Regulations LL.
United States
6 Jun 2019
12
Sagar Teotia Named SEC's Acting Chief Accountant
Sagar Teotia has been named as Acting Chief Accountant following Mr. Bricker's departure.
United States
3 Jun 2019
13
Mutual Fund Sponsors Beware: Recent SEC Staff Guidance Could Result In Lapse In Registration
Mutual fund sponsors should think carefully before agreeing with an SEC Staff request to delay the automatic effectiveness of a fund's annual update.
United States
22 Apr 2019
14
Final Decision In Lorenzo v. SEC
The Supreme Court yesterday took a significant step to expand the universe of actors who can be held liable for a false statement under the federal securities laws.
United States
29 Mar 2019
15
In Case You Missed It: Launch Links - Week Of February 17, 2019
Some interesting links we found across the web this week:
United States
1 Mar 2019
16
Recent Enforcement Actions Underscore Importance Of Timely Remediating Material Weaknesses In ICFR
Financial penalties in the settlements ranged from $35,000 to $200,000.
United States
5 Feb 2019
17
WilmerHale Attorneys Analyze OCIE Risk Alert on Cash Solicitation Rule
WilmerHale Attorneys Analyze OCIE Risk Alert on Cash Solicitation Rule.
United States
5 Feb 2019
18
Court Again Rejects A CFTC Manipulation Claim
On November 30, 2018, the Southern District of New York issued an opinion reaffirming the long-standing rule that traders cannot be found liable for illegal market manipulation when their trading was motivated by ...
United States
21 Dec 2018
19
In Case You Missed It: Launch Links - Week Of December 2, 2018
In Case You Missed It: Launch Links - Week of December 2, 2018
United States
12 Dec 2018
20
DOJ Tells Tech Companies To Develop "Responsible Encryption"
Second, the private sector must work cooperatively with law enforcement agencies on emerging security issues.
United States
6 Dec 2018
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