Mondaq USA: Corporate/Commercial Law > Securities
Hunton Andrews Kurth LLP
What Happened: On Monday, February 11, 2019, following the addition of Petróleos de Venezuela S.A. (PdVSA) to the Specially Designated Nationals and Blocked Persons List (SDN List),
Akin Gump Strauss Hauer & Feld LLP
GL-3C Bonds are defined in GL-3C as bonds specified in the Annex to GL-3C.
Cadwalader, Wickersham & Taft LLP
FINRA extended the effective date of the margin requirements for Covered Agency Transactions, including "to-be-announced" ("TBA") transactions and other forward-settling agency securities transactions
Cadwalader, Wickersham & Taft LLP
The staff of the SEC Division of Corporation Finance (the "Division") will not recommend enforcement action against a U.S. company for excluding a shareholder proposal from its proxy materials.
Cooley LLP
For example, there has been a substantial increase in cryptocurrency regulatory guidance, enforcement actions and private litigation.
Cooley LLP
In the first 30-day window after the date of the restated financials, the authors found no statistically significant abnormal returns.
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
On February 6, 2019, the Division of Corporation Finance (Staff) of the Securities and Exchange Commission published new interpretive guidance regarding board diversity disclosures
Cadwalader, Wickersham & Taft LLP
A broker-dealer agreed to settle NASDAQ Stock Market LLC ("Nasdaq") charges of failing to "maintain a continuous two-sided trading interest . . .
Cadwalader, Wickersham & Taft LLP
The U.S. Treasury Department ("Treasury") Office of Foreign Assets Control ("OFAC") replaced two general licenses under Executive Orders 13808 and 13850 ...
Cadwalader, Wickersham & Taft LLP
In remarks at the University of Missouri School of Law, SEC Commissioner Hester Peirce described the difficulty in applying securities laws in general ...
Akin Gump Strauss Hauer & Feld LLP
Last week, the Staff of the DCF of the SEC released new compliance and disclosure interpretations, which clarify disclosure requirements relating to diversity under Item 401(e) and Item 407(c)(2)(vi) of Regulation S-K.
Sheppard Mullin Richter & Hampton
On February 6, 2019, the Securities and Exchange Commission released two Compliance and Disclosure Interpretations (CDIs) discussing disclosure requirements in instances where a director or board nominee...
Jones Day
Disclosure alone is not sufficient; material weaknesses need to be actively remediated.
Foley Hoag LLP
A single annual plan is stronger than four quarterly plans.
Cooley LLP
That's because, in 2016, the House passed the Fostering Innovation Act of 2015—the very same bill.
Shearman & Sterling LLP
On January 31, 2019, Judge Madeline Cox Arleo of the United States District Court for the District of New Jersey granted with leave to amend defendants' motion to dismiss a putative securities fraud
Cadwalader, Wickersham & Taft LLP
The FIF believes that the SEC should consider revising Rule 605 to better reflect the best practices created by industry participants since the rule's adoption.
Mayer Brown
On February 6, 2019, the staff of the US Securities and Exchange Commission (SEC) issued two identical Regulation S-K compliance and disclosure interpretations (C&DIs),
Cadwalader, Wickersham & Taft LLP
Commercial Mortgage Alert ranked Cadwalader as the number-one law firm for advising both issuers and underwriters on commercial mortgage-backed securities.
Shearman & Sterling LLP
In this newsletter, we provide a snapshot of the principal Asian, U.S., European and selected international governance and securities law developments of interest to Asian corporates and financial institutions.
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Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
Jeffer Mangels Butler & Mitchell LLP
The SEC warns public companies that lax cybersecurity practices could violate rules governing internal accounting controls, and offer nine scams as cautionary tales.
Ruchelman PLLC
On August 8, 2018, the I.R.S. issued much-awaited proposed regulations under new Code §199A, which was added by the 2017 Tax Cuts and Jobs Act. The provision was initially discussed in detail in our February 2018 edition.
Mayer Brown
RegTech may be particularly helpful as FINRA members begin to engage in electronic structured products trading platforms.
Shearman & Sterling LLP
It is now time for foreign private issuers to prepare their annual reports on Form 20-F. For companies with a calendar year-end, the Form 20-F must be filed with the U.S. Securities
Cooley LLP
As you may recall, auditors of large accelerated filers will be required to report on CAMs—critical audit matters—in their auditor's reports for fiscal years ending on or after June 30, 2019...
Ropes & Gray LLP
On December 14, 2018, the SEC's Office of Compliance Inspections and Examinations ("OCIE") issued a Risk Alert to share its observations from a recent exam initiative.
Mayer Brown
On December 20, 2018, the staff (Staff) of the Division of Investment Management of the US Securities and Exchange Commission (SEC) granted conditional no-action relief to Madison Capital ...
Akin Gump Strauss Hauer & Feld LLP
On December 20, 2018, the staff of the Division of Investment Management (the "Staff") of the Securities and Exchange Commission (SEC) issued conditional no-action relief to Madison Capital Funding LLC ("Madison").
Ropes & Gray LLP
On December 20, 2018, the SEC staff issued a no-action letter to Madison Capital Funding LLC ("Madison"), a registered investment adviser ...
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