Mondaq USA: Corporate/Commercial Law > Securities
Hunton Andrews Kurth LLP
At a recent securities regulation conference, Bill Hinman, Director of the SEC's Division of Corporation Finance, indicated that the agency intends to release "plain English" ...
Mayer Brown
On October 31, 2018, the NYSE filed a proposed amendment to the Listed Company Manual to modify the price requirements for purposes of determining whether shareholder approval
Mayer Brown
On November 6, 2018, the NYSE proposed a rule change that conforms the definition of smaller reporting company ("SRC") to the recent amendments made by the Securities and Exchange Commission ("SEC")
Butler Snow LLP
The 2018 amendments to Rule 15c2-12 (the "Rule") make the following additions to the continuing disclosure requirements applying to most publicly-held municipal securities:
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.
Cadwalader, Wickersham & Taft LLP
The SEC made a correction to Form ATS-N, a form relating to disclosure requirements for alternative trading systems that trade in National Market System stocks ("ATSs").
Cadwalader, Wickersham & Taft LLP
The Security Traders Association ("STA") offered support for, and additional recommendations on, FINRA's proposal to amend its Continuing Education program.
Cadwalader, Wickersham & Taft LLP
A broker-dealer agreed to pay $215,000 to settle FINRA charges for failing to comply with close-out obligations in connection with delivery fails resulting from sales of equity securities, as requ
Cadwalader, Wickersham & Taft LLP
SEC Commissioner Hester M. Peirce called on the SEC to consider alternative methods when addressing compliance infractions rather than resorting to enforcement proceedings.
Cadwalader, Wickersham & Taft LLP
SEC Permits Brazilian Company To Conform Audit Committees To Home Country Law.
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
The SEC's recent actions suggest that the SEC is attempting to avoid that result.
Cadwalader, Wickersham & Taft LLP
The OCIE is interested in how the operation of these funds may impact retail investors.
Mayer Brown
On October 30, 2018, the Financial Industry Regulatory Authority, Inc. ("FINRA") filed a proposed rule change to amend FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) (the "Rule").
Morrison & Foerster LLP
Until yesterday, the enforcement actions of the U.S. Securities and Exchange Commission (SEC) in the digital token (aka cryptocurrency) space have primarily focused on the primary issuances of tokens.
Holland & Knight
On Nov. 2, 2018, the Securities and Exchange Commission (SEC) released its fiscal year 2018 enforcement statistics.
Reed Smith
In recent months, the U.S. Securities and Exchange Commission ("SEC") has emphasized cybersecurity as both an enforcement priority and corporate responsibility, demonstrating its continued focus...
Carlton Fields
A New York intermediate appellate court has ruled that a $140 million "disgorgement" payment ordered by the SEC in resolution of an investigation into securities laws violations was a "penalty"...
Reed Smith
On November 8, 2018, the U.S. Securities and Exchange Commission (the "SEC") settled its first case against an unregistered cryptocurrency exchange.
Pryor Cashman LLP
As previously covered by the FinTech Monitor, in March 2018 the SEC's Enforcement and Trading and Markets Divisions jointly issued a statement warning investors ...
Duane Morris LLP
Reporting from the Practising Law Institute's Annual Institute on Securities Regulation here in New York City.
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Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
Akin Gump Strauss Hauer & Feld LLP
On September 30, Governor Jerry Brown (D) signed a new California law requiring female presence on boards of public companies headquartered in California.
Mayer Brown
RegTech may be particularly helpful as FINRA members begin to engage in electronic structured products trading platforms.
Dentons
On September 13, 2018, the staff of the Division of Investment Management of the SEC withdrew letters previously issued in 2004 to Egan-Jones Proxy Services and Institutional Shareholder Services, Inc. ...
Holland & Knight
Four years ago, Brazilian authorities began Operation Car Wash, a wide-ranging and still ongoing corruption and money laundering investigation that has spanned 11 countries.
Ropes & Gray LLP
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
Cadwalader, Wickersham & Taft LLP
The SEC Division of Corporation Finance agreed that common stock issued by a mutual water company organized pursuant to the California General Corporation Law is not a "security" for purposes of the Securities Act.
Mintz
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.
Mayer Brown
Since January 2018, the present U.S. administration has imposed a series of tariff policies (U.S. Tariff Policies) that potentially have a wide range of consequences to domestic and international trade and the capital markets.
Shearman & Sterling LLP
On October 31, 2018, the U.S. Securities and Exchange Commission (SEC) adopted a final rule
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