Mondaq USA: Corporate/Commercial Law > Securities
Squire Patton Boggs LLP
Namely, while courts scrutinize agency interpretations, Auer deference remains intact.
Jones Day
The U.S. Securities and Exchange Commission seeks comment on proposed exemption from broker registration for certain activities by municipal advisors.
Mayer Brown
On September 6, 2019, Co-Director of Enforcement Steven Peikin of the SEC delivered a speech at the Securities Conference 2019. During this address, he discussed whether the SEC's Division
Mayer Brown
If you were somewhat put off by the prospect of reading over 1,000 pages of adopting releases for Regulation Best Interest and the Form CRS relationship summary and amendments to Form ADV, you are now
Torres Law, PLLC
In recent years, the U.S. Securities and Exchange Commission appears to be taking a more active role in a regulatory area for which it is not traditionally associated: economic sanctions.
Shearman & Sterling LLP
On September 30, 2019, Judge Loretta A. Preska of the United States District Court for the Southern District of New York dismissed federal securities...
Cooley LLP
Thanks to thecorporatecounsel.net for catching this announcement from NYC Comptroller Scott Stringer and the NYC Retirement Systems, which reported that, since the inception of the Comptroller's "Boardroom Accountability Project," ...
Milbank LLP
Milbank Litigation and White Collar partner George Canellos will speak on a panel titled "Rebuttal: The Defense Perspective" at Practising Law Institute's 51st Annual Institute on Securities
Mayer Brown
A general securities representative settled Financial Industry Regulatory Authority ("FINRA") charges for advising customers to purchase Leveraged and Inverse Exchange Traded Funds
Mayer Brown
The Attorneys General of seven states – New York, California, Connecticut, Delaware, Maine, New Mexico, Oregon – and the District of Columbia
Mayer Brown
FINRA recently updated its frequently asked questions about Rule 2232, which requires that FINRA members disclose in their confirms to retail customers their markups
Shearman & Sterling LLP
On September 30, 2019, Judge Ann M. Donnelly of the United States District Court for the Eastern District of New York dismissed a putative securities class action asserting claims brought under Sections 10
Mayer Brown
In Regulatory Notice 19-31 (the "Notice"), FINRA focuses on keeping marketing materials fair and balanced, as required by FINRA Rules 2210 – 2220, but also keeping those materials short and sweet.
Proskauer Rose LLP
On August 25, 2019, New York Governor Andrew Cuomo signed New York State Senate Bill S6536 which established a six-year statute of limitations for the prosecution...
Cadwalader, Wickersham & Taft LLP
The North American Securities Administrators Association ("NASAA") provided informational resources to millennials on investing and avoiding scams
Cadwalader, Wickersham & Taft LLP
The SEC final rule allowing all issuers to engage in certain communications in a contemplated initial public offering was published in the Federal Register
Cadwalader, Wickersham & Taft LLP
FINRA proposed updating the method for calculating trade reporting fees under FINRA Rule 7620B for broker-dealers using the FINRA/NYSE Trade Reporting Facility (the "FINRA/NYSE TRF").
Cadwalader, Wickersham & Taft LLP
FINRA cautioned investors on the risks associated with binary options and offered guidance on how to avoid certain frauds.
Cadwalader, Wickersham & Taft LLP
Amendments to permit FINRA to publish aggregated TRACE volume data on transactions in U.S. Treasury Securities.
Mayer Brown
Section 206(3) makes it unlawful, with certain limited exceptions, for an investment adviser to directly sell or purchase securities to and from clients or to act as a broker for a third party effecting
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Reed Smith
In Securities and Exchange Commission v. ICOBox et al,[1] the Securities and Exchange Commission ("SEC") alleges that defendant ICOBox and its founder
Torys LLP
The work of proxy advisory firms has been on the SEC's radar for several years. Extensive consultations with market participants and research into the role of proxy advisory firms
Pryor Cashman LLP
On September 30, 2019, Block.one became the most recent startup to settle with the SEC over an initial coin offering ("ICO").
Winston & Strawn LLP
We hope that commenters will make sure we get this balance right by letting us know what, if any, specific measures would be useful for investors.
Cooley LLP
Who else but Delaware Chief Justice Leo Strine would bid his farewell to the Delaware bench with nothing less ambitious than a "comprehensive proposal to reform the American corporate governance system".
Kirkland & Ellis International LLP
The SEC's Division of Corporation Finance announced that, starting with the 2019-2020 proxy season, it may issue oral rather than written guidance for some requests to exclude Rule 14a-8 shareholder
Cooley LLP
In a post last month, I noted that, notwithstanding the growth in the number of shareholder proposals related to corporate social responsibility, for the 2019
Cooley LLP
According to this recent study from consulting firm McKinsey, investors want to see a different kind of sustainability reporting.
Proskauer Rose LLP
On July 10, the Securities and Exchange Commission (the "SEC") qualified Blockstack PBC's ("Blockstack's") offering circular, enabling Blockstack to commence sales and distribution of up to $40 million worth of its Stacks Tokens ("Stacks") under Regulation A.
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