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China
DeHeng Law Offices
新型冠状病毒肺炎的爆发和迅速蔓...
European Union
Matheson
Among the unintended consequences of the United Kingdom's decision to leave the European Union is that the CREST ...
India
Khaitan & Co
In addition to enquiry, adjudication, prosecution, SEBI has also included recovery proceedings and disgorgement orders within the ambit of the General Order.
United States
Cadwalader, Wickersham & Taft LLP
On January 8, 2020, the SEC proposed an Order to improve the governance of National Market System Plans over public consolidated equity market data and the dissemination of trade and quote data.
Cadwalader, Wickersham & Taft LLP
A broker-dealer settled FINRA charges for failing to test its supervisory controls, policies and procedures, and for failing to document the test results in required certifications and reports.
Seyfarth Shaw LLP
On Thursday, February 6, 2020, SEC Commissioner Hester Peirce proposed rules which, if certain conditions are met, would, for three years, exempt (1) the offer and sale of tokens from most provisions of the 1933 Act, ...
Day Pitney LLP
On February 7, the SEC provided a legal bulletin setting forth the views of the Office of Municipal Securities regarding the application of the antifraud provisions of Section 10(b) of the Securities Exchange Act of 1934 ...
Arnold & Porter
On January 30, 2020, the SEC issued Guidance on the use of key performance indicators and metrics in MD&A.
Shearman & Sterling LLP
On February 5, 2020, Judge Matthew F. Kennelly of the United States District Court for the Northern District of Illinois sustained some but not all claims in a putative ...
WilmerHale
On September 19, 2019, the SEC adopted new rules and amendments establishing recordkeeping and reporting requirements for security-based swap dealers, major security-based swap participants and broker-dealers.
Shearman & Sterling LLP
On February 4, 2020, Judge Catherine C. Blake of the United States District Court for the District of Maryland dismissed certain claims in a putative class action asserting claims under Section 10(b)
WilmerHale
he release was approved by a 3-2 vote, with Commissioners Jackson and Lee dissenting.
Shearman & Sterling LLP
On February 4, 2020, Judge James Donato of the United States District Court for the Northern District of California partially dismissed a putative class action asserting claims under Section 10(b)...
Winston & Strawn LLP
Last month, the SEC issued an interpretive release addressing Item 303 of Reg S-K (see Rel. No. 33-10751, Key Performance Metrics (2020)).
Ropes & Gray LLP
January appears to have been MD&A month at the SEC. On January 30, the SEC proposed amendments to modernize, simplify, and enhance its Management's Discussion and Analysis...
Hogan Lovells
Hogan Lovells developed a checklist of key changes and considerations that public companies should be aware of when preparing their Forms 10-K and proxy statements for the upcoming filing season
Cadwalader, Wickersham & Taft LLP
There was abundant federal securities litigation activity in 2019. Plaintiffs not only continued to file securities lawsuits...
Cadwalader, Wickersham & Taft LLP
A broker-dealer agreed to settle SEC charges for failing to properly handle "pre-released" American Depositary Receipts ("ADRs") and for related supervisory failures.
Mayer Brown
On January 30, 2020, the US Securities and Exchange Commission continued its recent efforts to modernize and simplify its disclosure requirements by proposing to revise Item 303 of Regulation S-K (Management's Discussion and ...
Mayer Brown
This Legal Update explains and analyzes key aspects of the Board's rule and highlights changes from the proposed rule that was issued in April 2019.
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