Searching Content indexed under Securities by BakerHostetler ordered by Published Date Descending.
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Cracking Down On Crypto Around The World
This week, the Securities and Exchange Commission (SEC) announced an action against Kik Interactive, Inc., alleging an illegal $100 million digital securities offering through which more
United States
26 Jun 2019
SEC Enforcement Actions Continue As New Cryptocurrency-Based Assets Launch
The SEC has brought a civil injunctive action in federal court against a California man claiming to be selling instructional packages,
United States
17 Jun 2019
SEC Proposes Changing Definitions Of Accelerated Filer And Large Accelerated Filer To Provide Relief To Smaller Reporting Companies
On May 9, 2019, the SEC proposed amendments to the accelerated filer and large accelerated filer definitions to "reduce costs for certain lower-revenue companies by more appropriately tailoring the types of companies ...
United States
6 Jun 2019
Show Me The Data: Investors Demand Better ESG Disclosures
Asset managers are always looking for a valuation edge. But even when key factors are identified, the data may not be available.
United States
4 Jun 2019
Blockchain Capital Markets Diversify Amid ICO Slumps; Regulators Issue New Warnings
As of this week, the World Bank and Commonwealth Bank have enabled secondary market trading recorded on the blockchain for bond-i ...
United States
31 May 2019
SEC Proposes Simplified Financial Disclosures Relating To Acquisitions And Dispositions Of Businesses
On May 3, 2019, the U.S. Securities and Exchange Commission (SEC) proposed amendments, available here, to its rules and forms to simplify the disclosure requirements for financial statements relating to acquisitions and dispositions of businesses
United States
28 May 2019
DC Circuit Reverses SEC - Negligent Omissions And Willful Omissions Are Mutually Exclusive
On April 30, 2019, the U.S. Court of Appeals for the D.C. Circuit held that an investment adviser (IA) cannot willfully make a negligent disclosure in its Forms ADV.
United States
21 May 2019
DC Circuit Reverses SEC Finding That Negligent Omissions And Willful Omissions Are Mutually Exclusive
On April 30, 2019, the U.S. Court of Appeals for the D.C. Circuit held that an investment adviser (IA) cannot willfully make a negligent disclosure in its Forms ADV.
United States
17 May 2019
SEC Updates Data Privacy And Cybersecurity Guidance For Registered Firms
On April 16, 2019, the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) issued a risk alert,
United States
7 May 2019
Blockchain Capital Markets Solutions Continue To Advance In US And Abroad
Late last week, a leading trading services firm and Templum Inc. announced a strategic partnership that allows Templum to expand into the public markets and move toward developing
United States
1 May 2019
Corp Fin Issues White Paper And Related No-Action Letter Further Addressing When A Digital Asset Is A Security
On April 3, 2019, the Division of Corporation Finance of the Securities and Exchange Commission ("SEC" or the "Commission") through its Strategic Hub for Innovation and Financial Technology ("FinHub")
United States
30 Apr 2019
SEC Issues Digital Assets Guidance, Blockchain Regulations Evolve In U.S. And Abroad
Earlier this week, the SEC's FinHub, a branch that helps facilitate the SEC's engagement with new and evolving forms of securities, released a much-anticipated framework for analyzing
United States
23 Apr 2019
SCOTUS Skirts Janus On Securities Liability For Distributing False Or Misleading Information
The Supreme Court of the United States recently upheld a broad interpretation of the antifraud rule[1] of the federal securities laws that likely will have far-reaching implications for enforcement and civil actions.
United States
17 Apr 2019
SEC Solicits Comments To Expand Pre-Filing Communications Of Offers To Sell Securities
On February 19, 2019, the Securities and Exchange Commission (SEC) voted to propose a new rule under the Securities Act of 1933 (the Securities Act), and amendments to Rule 405
United States
10 Apr 2019
SEC Adopts Final Rules Modernizing Business And Financial Disclosure Requirements
On March 20, 2019, the Securities and Exchange Commission (SEC) adopted amendments to the disclosure requirements for public companies under Regulation S-K ...
United States
9 Apr 2019
Public And Private Sector Entities Address Blockchain Regulatory Environment
Last Friday, the SEC announced that it will host "a public forum focusing on distributed ledger technology (DLT) and digital assets" at the SEC's Washington, D.C.
United States
4 Apr 2019
Senate Bill Would Force Company Cyber Disclosure On SEC Filings
Amid growing alarm on Capitol Hill over cybersecurity and data privacy, new Senate legislation would require publicly traded companies to disclose in Securities and Exchange Commission (SEC) filings ...
United States
1 Apr 2019
Crypto Regulators Display Flexibility, Enforcement Agencies Flex Muscle
In a letter recently made public, Securities and Exchange Commission Chairman Jay Clayton endorsed analysis advanced by the SEC's director of corporate finance
United States
27 Mar 2019
More Guidance On ICO Tokens As Securities, Crypto Fraud And Hacked Bitcoins Returned
Last week, the SEC announced its settlement with Gladius, a Washington, D.C.-based company that raised approximately $12.7 million in an initial coin offering (ICO) conducted in late 2017.
United States
11 Mar 2019
Forthcoming SEC Guidance Confirmed, Initiatives Continue At Banks And Cryptocurrency Exchanges
Last Friday, the SEC published remarks by Commissioner Hester M. Peirce on the topic of "Protecting the Public While Fostering Innovation and Entrepreneurship."
United States
22 Feb 2019
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