Mondaq USA: Corporate/Commercial Law
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
Cooley LLP
ISS would continue voting against incumbent directors for as long as the problematic practice continued.
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
Rimon P.C.
The SEC recently reached a $24 million settlement with Block.one for its unregistered offering of over $4 billion worth of EOS tokens.
Gibson, Dunn & Crutcher
The Securities and Exchange Commission and Congress are taking steps to reduce the burdens and costs of being a public company. In this six-part article, the authors address this effort, ...
Cooley LLP
At the end of September, the SEC announced that it had filed a complaint in federal court charging pharma Mylan N.V. with failing to timely disclose in its financial statements the "reasonably possible" material losses ...
Orrick
On September 26, 2019, the Securities and Exchange Commission (SEC) adopted Rule 163B permitting all companies to use test-the-waters (TTW) communications
Debevoise & Plimpton
In an order dated August 29, 2019, and unsealed earlier this month, Judge Nicholas Garaufis of the U.S. District Court for the Eastern District of New York issued a significant ruling on the...
Debevoise & Plimpton
2019 continues to be an active year for FCPA enforcement. In the period from July to September, the SEC brought corporate enforcement actions addressing hiring practices (Deutsche Bank) and sales...
Reinhart Boerner Van Deuren s.c.
Reinhart Attorney Keith Johnson co-authored with Jill E. Fisch from the University of Pennsylvania Law School and Cynthia A. Williams from Osgoode Hall Law School
Ward and Smith, P.A.
Businesses trying to grow through the stage where they're too big to be small businesses, but not large enough to be big businesses, must focus on four key factors to be successful.
Jones Day
Rick Puente and Chris Pace review recent case developments, discuss the appointment of new National Security Advisor Robert O'Brien, and talk about what parties possibly affected by Helms-Burton should expect next.
Finnegan, Henderson, Farabow, Garrett & Dunner, LLP
During the 2019 IPBC Global conference in Boston, worldwide leaders in the legal, corporate and academic fields convened with Finnegan attorneys for a boardroom discussion
Cadwalader, Wickersham & Taft LLP
The SEC proposal to (i) update the statistical disclosures for bank and savings and loan registrants and (ii) eliminate redundant disclosures was published in the Federal Register.
Cadwalader, Wickersham & Taft LLP
A broker-dealer settled FINRA charges for failing to implement an adequate supervisory system to address short positions in tax-exempt municipal bonds.
O'Melveny & Myers LLP
On September 26, 2019, the Securities and Exchange Commission (SEC) announced that it adopted Rule 163B under the Securities Act of 1933
Hogan Lovells
The SEC's Division of Corporation Finance recently announced changes to its process for responding to no-action requests that seek exclusion from proxy materials of shareholder
Proskauer Rose LLP
Regulation of Custodial Practices under the Investment Advisers Act of 1940 is a comprehensive outline summarizing SEC regulatory requirements for investment advisers that have ...
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Lewis Brisbois Bisgaard & Smith LLP
The 2018 California legislative session was another busy year with numerous employment-related bill signed into law.
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
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
Cooley LLP
According to this recent study from consulting firm McKinsey, investors want to see a different kind of sustainability reporting.
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.
Cadwalader, Wickersham & Taft LLP
Since the start of 2018, state and, to a lesser extent, federal courts around the country, as well as state legislatures and Congress,
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").
Shearman & Sterling LLP
Corporate boards and executives continuously strive to identify and manage the key drivers of corporate performance.
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
Proskauer Rose LLP
The trend of direct lenders providing preferred equity financing to support sponsors and operating companies has only accelerated in the two years since we first wrote on the topic (available here).
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