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Searching Content from United States indexed under Corporate/Commercial Law ordered by Published Date Descending.
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1
New York Establishes Six-Year Statute Of Limitation For Prosecution Of Claims Under The Martin Act
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...
United States
17 Oct 2019
2
NASAA Warns Millennials On Investment Scams
The North American Securities Administrators Association ("NASAA") provided informational resources to millennials on investing and avoiding scams
United States
17 Oct 2019
3
Federal Register: SEC Extends "Test-The-Waters" Accommodations To All Issuers
The SEC final rule allowing all issuers to engage in certain communications in a contemplated initial public offering was published in the Federal Register
United States
17 Oct 2019
4
FINRA Changes Method For Calculating Trade Reporting Fees
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").
United States
17 Oct 2019
5
ISS Seeks Comment On Potential 2020 Voting Policy Changes
ISS would continue voting against incumbent directors for as long as the problematic practice continued.
United States
17 Oct 2019
6
FINRA Cautions Investors Of Risks In Trading Binary Options
FINRA cautioned investors on the risks associated with binary options and offered guidance on how to avoid certain frauds.
United States
17 Oct 2019
7
FINRA To Issue Six New Rulemaking Proposals
Amendments to permit FINRA to publish aggregated TRACE volume data on transactions in U.S. Treasury Securities.
United States
17 Oct 2019
8
Frequent Principal And Trading Agency Cross Transactions Compliance Issues
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
United States
17 Oct 2019
9
Regulation Round Up (September 2019)
The Financial Conduct Authority ("FCA") updated its webpage relating to its guidance consultation on the fair treatment of vulnerable customers.
European Union
17 Oct 2019
10
Block.One, Creator Of EOS, Settles With The SEC. Was It A Slap On The Wrist? Did EOS Get A Pass From The Feds?
The SEC recently reached a $24 million settlement with Block.one for its unregistered offering of over $4 billion worth of EOS tokens.
United States
16 Oct 2019
11
SEC, DOJ And State Agency Enforcement Actions For ICOs And Crypto Fraud Schemes
In a settlement announced this week, the Securities and Exchange Commission (SEC) ordered EOS developer Block.one to pay a $24 million penalty...
United States
16 Oct 2019
12
Cryptocurrency Service Providers Target Mainstream Investors, Finra Application Approved
A credit rating agency owned by a global financial services firm recently provided new details on its blockchain initiatives, including efforts to publish...
United States
16 Oct 2019
13
Updates To The Public Company Disclosure Rulebook
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, ...
United States
16 Oct 2019
14
OIG To Audit Provision Of Behavioral Health Services Through Tele-Health Under Medicaid Managed Care
In its recently updated Work Plan, the Office of the Inspector General ("OIG") at the Department of Health & Human Services (HHS) announced that it will conduct ...
United States
16 Oct 2019
15
Mylan Settles SEC Charges For Disclosure And Accounting Failures Arising Out Of DOJ Investigation
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 ...
United States
16 Oct 2019
16
AV/ICT Equipment: Don't Let Standards Slip! New Single Safety Standard IEC 62368 Coming Into Force
Businesses need to start thinking about this and making preparations now.
European Union
16 Oct 2019
17
SEC Expands "Test-The-Waters" Communications For All Companies
On September 26, 2019, the Securities and Exchange Commission (SEC) adopted Rule 163B permitting all companies to use test-the-waters (TTW) communications
United States
16 Oct 2019
18
2019-20 Compliance Developments And Calendar For Private Fund Advisers
While the Securities and Exchange Commission (SEC) brought several enforcement actions in 2018-19, the most significant new developments were published interpretations and alerts.
United States
16 Oct 2019
19
Conducting A Token Offering Under Regulation A
This white paper discusses considerations related to conducting a token offering under Regulation A under the Securities Act of 1933 (the "Securities Act"). The benefit of this strategy...
United States
16 Oct 2019
20
Decision Permitting Restitution Claims Against Och-Ziff May Signal Increased Litigation Risk For Companies Settling FCPA Actions
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...
United States
16 Oct 2019
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