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Cadwalader, Wickersham & Taft LLP
An investment firm was fined $2.9 billion by several domestic and foreign authorities, including the Federal Reserve Board, the DOJ, the SEC, the Financial Conduct Authority and the Bank...
Cadwalader, Wickersham & Taft LLP
The SEC and CFTC (collectively, the "Commissions") adopted a final rule reducing the margin requirements for security futures.
Cadwalader, Wickersham & Taft LLP
SEC Commissioner Hester Peirce encouraged additional clarification on the potential liability faced by compliance officers in the execution of their responsibilities.
Mayer Brown
Preparations are key to a successful proxy and annual report season, and autumn is not too early to begin.
Morrison & Foerster LLP
California's Assembly Bill (AB) 979 is set to make waves both within the state and across the country as a groundbreaking new law that ...
Mayer Brown
The Securities and Exchange Commission has announced a virtual panel discussion on October 29, 2020, where panelists will discuss topics ranging from investor access to private markets to the SEC's...
Cooley LLP
couple of weeks ago, the SEC settled charges against Andeavor, an energy company formerly traded on the NYSE and now wholly owned by Marathon Oil
Jones Day
The Situation: California's governor recently signed into effect a new law requiring public corporations whose principal executive offices are located in California to have a certain minimum
Jones Day
The Situation: The term "accredited investor" under the Securities Act of 1933 ("Securities Act") is used to establish the eligibility of investors to participate in offerings conducted
Jones Day
The Situation: A number of shareholder derivative lawsuits in federal court have been filed seeking to hold directors and officers of major companies accountable for alleged failures
Jones Day
The Situation: Companies facing the twin prospects of a significant Department of Justice ("DOJ") settlement and financial distress have historically had little insight into how the DOJ
Jones Day
The Situation: For many years, various groups have urged the Securities and Exchange Commission ("SEC" or "Commission")
Jones Day
The Situation: In an effort to update the rules to improve disclosures for investors and to simplify compliance efforts for registrants, the U.S. Securities and Exchange Commission ("SEC")
Jones Day
The Situation: The Division of Trading and Markets (the "Division") of the U.S. Securities and Exchange Commission ("SEC") approved a proposed rule change by the New York Stock Exchange ("NYSE")
Jones Day
The Situation: In November 2019, the U.S. Securities and Exchange Commission ("SEC") proposed certain amendments to Rule 14a-8 of the Securities Exchange Act of 1934
Jones Day
Federal court grants summary judgment to the SEC on its claim that sales of digital tokens constitute investment contracts under the Securities Act.
Cooley LLP
For over a year, the SEC, credit rating agencies, investors, the Big Four accounting firms and other interested parties have been sounding the alarm about a popular financing technique called...
Venable LLP
The past five years have seen a major uptick in FTC enforcement against alleged charity fundraising scams, along with increased multi-state coordination in this space.
Worldwide
Mayer Brown
The first step is to review the relevant supply chain contracts.
Torres Law, PLLC
Industry is well aware of the final rule published on April 28, 2020 (Final Rule), by the U.S. Department of Commerce, Bureau of Industry and Security (BIS) that, among other changes, revises the...
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