Mondaq USA: Corporate/Commercial Law > Securities
Cooley LLP
That's because, in 2016, the House passed the Fostering Innovation Act of 2015—the very same bill.
Shearman & Sterling LLP
On January 31, 2019, Judge Madeline Cox Arleo of the United States District Court for the District of New Jersey granted with leave to amend defendants' motion to dismiss a putative securities fraud
Cadwalader, Wickersham & Taft LLP
The FIF believes that the SEC should consider revising Rule 605 to better reflect the best practices created by industry participants since the rule's adoption.
Mayer Brown
On February 6, 2019, the staff of the US Securities and Exchange Commission (SEC) issued two identical Regulation S-K compliance and disclosure interpretations (C&DIs),
Cadwalader, Wickersham & Taft LLP
Commercial Mortgage Alert ranked Cadwalader as the number-one law firm for advising both issuers and underwriters on commercial mortgage-backed securities.
Cadwalader, Wickersham & Taft LLP
The MSRB adopted clarifying amendments to the Implementation Guidance on MSRB Rule G-18 ("Best Execution").
Cadwalader, Wickersham & Taft LLP
In a call with the SEC Investor Advisory Committee, SEC Chair Jay Clayton and SEC Commissioner Elad L. Roisman contended that the current proxy voting system needs fixing.
Shearman & Sterling LLP
The Securities and Exchange Commission (the SEC) has proposed rules that would modernize the "fund of funds" rules. The rules would replace a patchwork of exemptive rules and orders,
Cadwalader, Wickersham & Taft LLP
The Growth and Emerging Markets Committee of IOSCO offered recommendations to assist regulators on issues concerning sustainable finance.
BakerHostetler
Despite the bear market, some cryptocurrency exchanges continue efforts to expand their offerings.
Ropes & Gray LLP
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
Cadwalader, Wickersham & Taft LLP
From April 2020 depositaries under the EU Alternative Investment Fund Managers Directive[1] ("AIFMD") ...
Cadwalader, Wickersham & Taft LLP
The SEC Division of Corporation Finance granted an exemption to a UK-based company from an Exchange Act rule barring purchases outside of a tender offer.
Cooley LLP
The issue of mandatory arbitration bylaws is a hot potato—and a partisan one at that (with Rs tending to favor and Ds tending to oppose).
Arnold & Porter
In Henry Schein, Inc. v. Archer & White Sales, Inc., No. 17-1212, Justice Kavanaugh delivered his first written opinion for the Supreme Court.
Cadwalader, Wickersham & Taft LLP
The effective date for the final rules is March 8, 2019.
Cadwalader, Wickersham & Taft LLP
The SEC updated Compliance and Disclosure Interpretations of Regulation S-K to clarify disclosure of "self-identified diversity characteristics" required under Item 401
Sheppard Mullin Richter & Hampton
In the aftermath of Equifax's data breach, a federal court recently found that allegations of poor cybersecurity coupled with misleading statements ...
Akin Gump Strauss Hauer & Feld LLP
On January 28, 2019, OFAC added the Venezuelan state-owned oil and natural gas company PdVSA to its SDN List.
BakerHostetler
Late last week, a 20-year-old college student who stole more than $5 million in cryptocurrency was convicted of "SIM Swapping" or "SIM Hijacking" in Santa Clara County, California.
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Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
Jeffer Mangels Butler & Mitchell LLP
The SEC warns public companies that lax cybersecurity practices could violate rules governing internal accounting controls, and offer nine scams as cautionary tales.
Mayer Brown
RegTech may be particularly helpful as FINRA members begin to engage in electronic structured products trading platforms.
Ruchelman PLLC
On August 8, 2018, the I.R.S. issued much-awaited proposed regulations under new Code §199A, which was added by the 2017 Tax Cuts and Jobs Act. The provision was initially discussed in detail in our February 2018 edition.
Shearman & Sterling LLP
It is now time for foreign private issuers to prepare their annual reports on Form 20-F. For companies with a calendar year-end, the Form 20-F must be filed with the U.S. Securities
Ropes & Gray LLP
On December 14, 2018, the SEC's Office of Compliance Inspections and Examinations ("OCIE") issued a Risk Alert to share its observations from a recent exam initiative.
Cooley LLP
As you may recall, auditors of large accelerated filers will be required to report on CAMs—critical audit matters—in their auditor's reports for fiscal years ending on or after June 30, 2019...
Mayer Brown
On December 20, 2018, the staff (Staff) of the Division of Investment Management of the US Securities and Exchange Commission (SEC) granted conditional no-action relief to Madison Capital ...
Cooley LLP
Some of the remarks provided helpful guidance for evaluating internal control over financial reporting.
Foley Hoag LLP
This is the fifth in our third annual series examining important trends in data privacy and cybersecurity during the new year.
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