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BakerHostetler
On Wednesday, the Securities and Exchange Commission (SEC) announced that it had settled charges against a blockchain technology startup, Enigma MPC, for violations of federal securities laws.
Kirkland & Ellis International LLP
On January 30, 2020, the U.S. Securities and Exchange Commission ("SEC") provided guidance on the disclosure of key performance indicators ("KPIs") ...
Cadwalader, Wickersham & Taft LLP
Revisions to the Electronic Data Gathering, Analysis and Retrieval System ("EDGAR") Filer Manual, and to the associated rule under Regulation S-T, were published in the Federal Register.
Cadwalader, Wickersham & Taft LLP
An English- and Welsh-incorporated foreign private issuer settled SEC charges for failing to make required disclosures that resulted in materially misleading financial results.
Cadwalader, Wickersham & Taft LLP
A data encryption startup settled SEC charges for registration failures involving the offering and selling of digital tokens.
Cadwalader, Wickersham & Taft LLP
The SEC proposed amendments to Regulation NMS that would expand the content of NMS market data and modernize market data infrastructure.
Reed Smith
On January 6, 2020, the Director of the Federal Trade Commission's (FTC's) Bureau of Consumer Protection, Andrew Smith, published a blog post highlighting recent changes...
Jones Day
In an effort to modernize, simplify, and enhance certain financial disclosure requirements in Regulation S-K, the U.S. Securities and Exchange Commission ("SEC") proposed certain amendments on January 30, 2020.
Cooley LLP
The SEC has just settled an action against Diageo PLC, a producer of liquor, wine and beer, for failure to disclose known trends and uncertainties.
WilmerHale
In a speech on February 6, 2020, SEC Commissioner Hester M. Peirce outlined a proposed safe harbor to address certain regulatory difficulties faced by individuals desiring to build functioning token networks.
Shearman & Sterling LLP
This newsletter provides a snapshot of the principal U.S. and selected international governance and securities law developments
Shearman & Sterling LLP
On June 5, 2019, the U.S. Securities and Exchange Commission (the "SEC") adopted Regulation Best Interest ("Regulation BI") to improve investor protection by establishing a standard of conduct for broker-dealers making recommendations to retail customers.
Fenwick & West LLP
In January 2020, Institutional Shareholder Services and the U.S. Securities and Exchange Commission agreed to stay litigation filed by ISS in October challenging the SEC's interpretation and guidance.
Cooley LLP
To the defense comes SEC Commissioner Elad Roisman, who has been honchoing these proposals at the SEC.
Cleary Gottlieb Steen & Hamilton LLP
On January 28, 2020, following remand from the Ninth Circuit, the district court in Stoyas v. Toshiba Corp. denied a motion to dismiss a complaint asserting claims under the U.S.
Pillsbury Winthrop Shaw Pittman LLP
Although the SEC did not bring as many headline enforcement actions against private funds as in years past, it continues to devote substantial resources and attention to investment advisers.
Gibson, Dunn & Crutcher
The number of securities cases filed in federal court continued at a furious pace for the third year in a row. This year-end update highlights what you most need to know in securities litigation...
Shearman & Sterling LLP
On February 6, 2020, Judge James S. Moody, Jr. of the United States District Court for the Middle District of Florida dismissed a putative class action.
Shearman & Sterling LLP
On February .7, 2020, Judge Richard G. Andrews of the United States District Court for the District of Delaware granted in part and denied in part motions to dismiss a putative securities class action
Cadwalader, Wickersham & Taft LLP
The NYSE made recommendations to improve an SEC proposal on National Market System Plans concerning public consolidated equity market data and the dissemination of trade and quote data.
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