Mondaq USA: Corporate/Commercial Law > Securities
Mayer Brown
As we discussed in a prior post, Commissioner Jackson has spoken out on transactions undertaken by public company executives in close proximity to their companies' stock buybacks.
Ropes & Gray LLP
On June 28, 2018 at an open meeting, the SEC unanimously voted to propose new Rule 6c-11 under the Investment Company Act of 1940, as amended, which, if adopted, would permit exchange-traded funds ...
Cooley LLP
Yesterday, the SEC voted (by a vote of three to two) to propose amendments to the rules related to its whistleblower program. According to Chair Clayton, the program has been a resounding success...
Shearman & Sterling LLP
On July 3, 2018, Judge David O. Carter of the United States District Court for the Central District of California granted plaintiffs' motion to certify a class in a securities fraud action against Tex-Mex restaurant...
Mayer Brown
On June 28, 2018, the SEC revised the definition of "smaller reporting company" in order to expand the number of registrants that will qualify as smaller reporting companies and to reduce compliance...
Pryor Cashman LLP
On June 28, 2018, the SEC unanimously voted to adopt amendments to the definition of "smaller reporting company" to expand the number of issuers that qualify for certain existing scaled disclosure accommodations under the federal securities laws.
Mayer Brown
The use of social media raises many securities law and compliance challenges for issuers, broker-dealers, and investment advisers.
Cadwalader, Wickersham & Taft LLP
A former Equifax employee agreed to settle SEC charges of trading on material nonpublic information. The case is similar to one brought earlier this year ...
Cadwalader, Wickersham & Taft LLP
The CFTC and SEC (the "agencies") agreed to an updated Memorandum of Understanding ("MOU") to enhance regulatory coordination and facilitate information exchanges...
Cadwalader, Wickersham & Taft LLP
The SEC proposed a new rule that would modify the approval process for certain exchange-traded funds ("ETFs").
Mayer Brown
The Securities and Exchange Commission's disclosure effectiveness initiative has, among other things, focused on the fact that risk factors in SEC disclosure documents have over the years become longer, ...
Cadwalader, Wickersham & Taft LLP
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, effective dates and compliance dates.
Carlton Fields
The New Jersey federal district court judge remanded the action. In state court, AXA again moved to dismiss, this time successfully.
Shearman & Sterling LLP
In a split vote on June 28, 2018, the Securities and Exchange Commission adopted a new rule to require certain open-end investment companies to disclose in their annual or semi-annual shareholder
Mayer Brown
On May 30, 2018, the Division of Investment Management of the Securities and Exchange Commission issued an exemptive order that permits private business development companies
Cadwalader, Wickersham & Taft LLP
The SEC Office of the Investor Advocate ("OIA") set forth its priorities for protecting and promoting the interests of retail investors in a newly released FY2019 annual Report on Objectives.
WilmerHale
The SEC issued separate press releases discussing the SRC and XBRL amendments.
Kramer Levin Naftalis & Frankel LLP
The statute has been used to regulate a wide variety of conduct, from Wall Street financings to the sale of condominiums and cooperative apartments in public offerings.
Jones Day
In the landmark Morrison decision in 2010, the U.S. Supreme Court held that Section 10(b) of the Securities Exchange Act of 1934 does not apply extraterritorially, and that the statute...
Shearman & Sterling LLP
On June 19, 2018, Judge Lee H. Rosenthal of the United States District Court for the Southern District of Texas dismissed with leave to amend a putative securities class action against Anadarko
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Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
Carlton Fields
As of this inaugural publication, there exists no uniformity with respect to how businesses that deal in virtual currencies (also known as "cryptocurrencies") such as Bitcoin are treated among the states.
Duff and Phelps
The ASU removes the trading or available-for-sale classifications for equity investments and eliminates reporting changes in fair value in other comprehensive income.
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
This case stems from alleged misstatement made by Volkswagen Group of America Finance ("VWGoAF") in an Offering Memorandum governing the issuance of three sets of bonds.
Cooley LLP
For those of you who have been waiting for those big changes to Dodd-Frank to materialize, don't hold your breath; at least as far as the SEC is concerned, the vast majority of those rules...
Shearman & Sterling LLP
On March 19, 2018, the SEC announced three multi-million dollar awards to whistle-blowers to reward them for reporting misconduct.
Mayer Brown
The use of social media raises many securities law and compliance challenges for issuers, broker-dealers, and investment advisers.
Mayer Brown
As we discussed in a prior post, Commissioner Jackson has spoken out on transactions undertaken by public company executives in close proximity to their companies' stock buybacks.
Mayer Brown
This Thursday, the SEC will hold an open meeting to consider, among other things, proposed amendments to the definition of "smaller reporting company", as well as proposed amendments to rules and forms requiring the use of Inline XBRL.
Proskauer Rose LLP
On June 4, we posted a summary of SEC Enforcement Co-Director Steven Peikin observations during his recent keynote address at the New York City Bar Association's 7th Annual White Collar Crime Institute
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