Mondaq USA: Corporate/Commercial Law
Cadwalader, Wickersham & Taft LLP
The U.S. Treasury Department's Office of Financial Research ("OFR") proposed a rule to require data collection that covers centrally cleared transactions in the U.S. repurchase agreement market.
Cadwalader, Wickersham & Taft LLP
The SEC Office of Compliance Inspections and Examinations ("OCIE") identified common deficiencies in investment advisers' compliance with "best execution" obligations.
Shearman & Sterling LLP
On July 6, 2018, the Financial Action Task Force published for consultation draft Risk-Based Approach Guidance for the securities sector.
One of the major ways that investors can exert control over a company is through representation on the board.
Stites & Harbison PLLC
Civil penalties could be levied against any franchisor that fails to comply with the assurances of discontinuance.
McDermott Will & Emery
The Director of the SEC's Division of Corporation Finance William Hinman gave a speech in which he discussed whether a digital asset ...
Mayer Brown
A number of capital formation-related bills passed in the House this week with bipartisan support. These include:
Kramer Levin Naftalis & Frankel LLP
Fintech firm Artivest closed its merger with alternative asset manager Altegris. Artivest's digital alternative investment platform targets qualified investors and financial advisors seeking access ...
Cooley LLP
This SEC Order, In the Matter of The Dow Chemical Company, is a great refresher—at Dow's expense, unfortunately for Dow—on the analysis required to determine whether or not certain expenses...
Troutman Sanders LLP
The Securities and Exchange Commission ("SEC") will now require public companies (including operating companies, smaller reporting companies ...
Arnold & Porter
n June 19, 2018, the Court of Appeals for the Second Circuit in Giunta v. Dingman, No. 17-1375-cv, 2018 WL 3028686 (2d Cir. Jun. 19, 2018) ...
Jones Day
Despite Equifax's use of a cover story to keep employees from learning it was the victim of a serious data breach, a then-employee allegedly figured it out and made illegal securities...
Some interesting links we found across the web this week:
In 2011, pursuant to authority granted under the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Securities and Exchange Commission (SEC or Commission) adopted rules implementing the whistleblower provisions of Section 21F of the Securities Exchange Act of 1934 (the Whistleblower Program).
After 26 years and the issuance of over 300 exemptive orders, the Securities and Exchange Commission (SEC or Commission), through the rulemaking process, is seeking to simplify and streamline the regulatory process for new exchange-traded funds (ETFs) to reach the market, and to level the competitive playing field among existing ETFs.
Mayer Brown
The Securities and Exchange Commission Office of Investor Advocate released its report on the objectives of the Office for Fiscal Year 2019.
Cadwalader, Wickersham & Taft LLP
A former scientist at a California-based biotech company agreed to settle SEC insider trading charges.
Cadwalader, Wickersham & Taft LLP
SEC final amendments relating to liquidity disclosures and Form N-Port classification reporting for open-end funds were published in the Federal Register.
Cadwalader, Wickersham & Taft LLP
SEC final amendments to expand the definition of "smaller reporting company" ("SRC") were published in the Federal Register.
Cadwalader, Wickersham & Taft LLP
The SEC Division of Corporation Finance granted exemptive and no-action relief to a technology company and two subsidiaries from certain tender offer requirements in connection with a complex series of transactions.
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Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
Matson Driscoll & Damico
In my previous article, I discussed the critical need for business owners to have their business valued by a professional appraiser.
Jones Day
The Situation: In what may indicate a sea change in terms of who the Department of Justice ("DOJ") is willing to pursue in False Claims Act cases, a private equity firm has been named as a co-defendant in a False Claims Act complaint, along with one of its portfolio companies.
Carlton Fields
As of this inaugural publication, there exists no uniformity with respect to how businesses that deal in virtual currencies (also known as "cryptocurrencies") such as Bitcoin are treated among the states.
Milbank, Tweed, Hadley & McCloy LLP
atte bereits im Studium den Schwerpunktbereich Handels- und Gesellschaftsrecht, wobei ich das Aktienrecht schon immer besonders spannend fand.
Duff and Phelps
The ASU removes the trading or available-for-sale classifications for equity investments and eliminates reporting changes in fair value in other comprehensive income.
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
Energy & Sustainability Connections brings the latest developments in energy investing, legal insights, company activity, and industry events straight to your inbox.
Sheppard Mullin Richter & Hampton
This decision reflects continued deference by the California courts to Delaware forum selection clauses in certificates of incorporation.
Pryor Cashman LLP
On June 15, 2018, Jeffrey Alberts, Co-Chair of Pryor Cashman's FinTech Group, will be a featured panelist at the Association of International Bank Audit and Compliance Professionals' (AIBACP) ...
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
This case stems from alleged misstatement made by Volkswagen Group of America Finance ("VWGoAF") in an Offering Memorandum governing the issuance of three sets of bonds.
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