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Searching Content indexed under Securities by Alex Lakatos ordered by Published Date Descending.
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Prospect For Innovation Or Dust From The Litterbox? The Public Sifts Through Product Sandbox
A catastrophic end to consumer protection to some, and a long overdue attempt to reconcile law with technology to others, former CFPB Acting Director Mick Mulvaney's parting gift stirred up the financial services industry.
United States
18 Mar 2019
2
US Department of Justice Brings Its First Criminal Prosecution for Spoofing of Commodities Markets
A Chicago federal grand jury has indicted Michael Coscia, formerly a registered floor trader and sole owner of Panther Energy Trading LLC, for allegedly violating the anti-spoofing provision of the Commodity Exchange Act ..
United States
15 Oct 2014
3
Presumption Against Extraterritoriality in Morrison v. National Australia Bank Extended to Private Party Whistleblower Retaliation Cases
The US Court of Appeals for the Second Circuit has ruled that the presumption against extraterritoriality applies to private party actions under Section 21(h) of the Securities Exchange Act of 1934 ("Exchange Act").
United States
26 Aug 2014
4
US Securities And Exchange Commission Issues Final Rules Regarding The Application Of Security-Based Swap Intermediary Definitions To Cross-Border Security Based Swap Activity
The US Securities and Exchange Commission has adopted final rules regarding the cross-border application of certain security-based swap provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
United States
16 Jul 2014
5
Presumption Against Extraterritoriality in Morrison v. National Australia Bank Extended to Criminal Prosecutions
On August 30, 2013, the US Court of Appeals for the Second Circuit ruled in United States v. Vilar that the presumption against extraterritoriality applies to federal criminal prosecutions under Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act).
United States
16 Sep 2013
6
New York Appeals Court Precludes Attempted End Run Around Morrison
A New York appellate court recently issued a decision favorable to securities issuers whose shares trade on non-US exchanges.
United States
23 Jan 2013
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