Mondaq USA: Corporate/Commercial Law > Securities
Cadwalader, Wickersham & Taft LLP
The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") affirmed that it would not recommend any enforcement action against several commodity pool operators ("CPOs") for failing to register as a CPO.
Cadwalader, Wickersham & Taft LLP
FINRA advised firms using third-party recordkeeping service providers ("providers") to ensure that contracts comply with recent guidance issued by the SEC Division of Trading and Markets staff.
Cadwalader, Wickersham & Taft LLP
Two affiliated broker-dealers agreed to settle SEC charges for allegedly misleading institutional customers regarding the operation of a dark pool.
Cadwalader, Wickersham & Taft LLP
SEC Commissioner Robert J. Jackson Jr. urged the SEC to preserve the current role of proxy advisors in shareholder voting.
Shearman & Sterling LLP
On September 7, 2018, Judge Haywood S. Gilliam, Jr. of the United States District Court for the Northern District of California dismissed a putative class action against Impax Laboratories.
Cadwalader, Wickersham & Taft LLP
The MSRB published FAQs relating to the use of municipal advisory client lists and case studies. The MSRB also requested comment on a draft compliance resource ...
Cadwalader, Wickersham & Taft LLP
An amusement park and two former executives settled SEC charges for failing to disclose the extent to which a documentary film on the park's policies ...
Cadwalader, Wickersham & Taft LLP
SEC Commissioner Hester M. Peirce urged the SEC to embrace FinTech innovation and permit more risk-taking by investors in cryptocurrencies.
Reed Smith
Earlier this week, New Jersey Governor Phil Murphy announced that the New Jersey Bureau of Securities would start rulemaking to "impose a fiduciary duty on all New Jersey investment professionals.
Ropes & Gray LLP
ISDA recently published the ISDA 2018 U.S. Resolution Stay Protocol, which is now open for adherence.
Cooley LLP
ISS has posted the results of its most recent Governance Principles Survey, which can sometimes guide future ISS policies.
Ropes & Gray LLP
On September 13, 2018, the Division of Investment Management issued an Information Update in which it announced the withdrawal of two no-action letters concerning the circumstances under which ...
Mintz
In Khoja v. Orexigen Therapeutics, Inc., the Ninth Circuit clarified the "rare circumstances" when a court may review documents extraneous to the pleadings in ruling on a motion to dismiss.
Cadwalader, Wickersham & Taft LLP
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, compliance dates, effective dates and expiration dates.
Cadwalader, Wickersham & Taft LLP
The SEC reduced a whistleblower award after discovering that the whistleblower financially benefited from waiting to report the misconduct.
Cadwalader, Wickersham & Taft LLP
A broker-dealer agreed to a censure and a $20,000 fine to settle FINRA charges for failing to have an adequate supervisory system as well as written supervisory procedures ("WSPs") ...
Ropes & Gray LLP
On September 12, 2018, the United Technologies Corporation reached a $13.9 million resolution with the SEC over allegations that it violated the anti-bribery, books and records, and internal accounting controls provisions ...
Hunton Andrews Kurth LLP
The Staff's withdrawal of the two no-action letters was met by immediate and diverging reactions by commentators.
Akin Gump Strauss Hauer & Feld LLP
The SEC is continuing its probe into public companies that appear to incorporate and seek to capitalize on the blockchain technology.
Cooley LLP
At a meeting last week of the SEC's Investor Advisory Committee, the primary focus of the discussion was the panoply of problems associated with the infrastructure supporting the proxy voting system, so-called "proxy plumbing."
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Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
Mayer Brown
The use of social media raises many securities law and compliance challenges for issuers, broker-dealers, and investment advisers.
Mayer Brown
The Securities and Exchange Commission's Chief Accountant, Wesley Bricker, addressed attendees at a conference of the Institute of Management Accountants. Mr. Bricker commented on the global nature of the capital markets.
Proskauer Rose LLP
On June 4, we posted a summary of SEC Enforcement Co-Director Steven Peikin observations during his recent keynote address at the New York City Bar Association's 7th Annual White Collar Crime Institute
BakerHostetler
On June 25, 2018, a divided panel of the United States Court of Appeals for the Second Circuit reaffirmed the insider trading conviction of a hedge fund portfolio manager in United States v. Martoma...
Cooley LLP
You've got to just love the irony: the SEC's amendments mandating the use of Inline XBRL aren't even effective yet
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
In a decision with implications for the extraterritorial reach of the Foreign Corrupt Practices Act (FCPA), the U.S. Court of Appeals for the Second Circuit held in United States v. Hoskins ...
Mayer Brown
On February 21, 2018, nearly seven years after the original issuance of guidance relating to disclosure of cybersecurity risks and cyber incidents, the Securities and Exchange Commission (SEC) ...
Sheppard Mullin Richter & Hampton
On August 17, 2018, the Securities and Exchange Commission (SEC) approved amendments to certain of its disclosure requirements that have become redundant, duplicative ...
Mintz
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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