Mondaq USA: Corporate/Commercial Law > Securities
Shearman & Sterling LLP
On April 18, 2018, the U.S. Securities and Exchange Commission ("SEC") took the long-awaited step of proposing rules, interpretations and guidance (the "Proposed Rules") ...
Cadwalader, Wickersham & Taft LLP
FINRA proposed a rule amendment to permanently adopt minimum quotation sizes for OTC equity securities implemented under the Tier Size Pilot Program ("Pilot").
Cadwalader, Wickersham & Taft LLP
FINRA proposed amendments to its suitability rule that would remove the requirement that a broker-dealer must have "control" over a customer account ...
Morrison & Foerster LLP
For many years, the distinction between investment advisers and broker-dealers was clear: investment advisers were counselors who were expected to provide advice ...
Cooley LLP
In this recent Cooley Alert, SEC Issues New Guidance on Cybersecurity Disclosure and Policies, we wrote that the SEC had not yet brought a formal enforcement proceeding for failure to make timely disclosure regarding...
Duff and Phelps
Big data's becoming a big issue for hedge funds and other managers, and it could cause some major problems for compliance.
Morrison & Foerster LLP
On April 20, 2018, FINRA issued proposed amendments to Rule 2111's "quantitative suitability" provisions.
Cooley LLP
You, like me, may have been the recipient of many, many, many calls from various persons claiming to be from the IRS and threatening you with imprisonment.
Cadwalader, Wickersham & Taft LLP
Click on the links to view SEC notices of exchange rule changes and proposals for the week of April 16 to April 20, 2018.
Cadwalader, Wickersham & Taft LLP
The SEC filed additional fraud charges in connection with the recently shut down Centra Tech, Inc. ("Centra") initial coin offering.
Cadwalader, Wickersham & Taft LLP
FINRA proposed extending the effective date for certain amendments to FINRA Rule 4210 to March 25, 2019.
Pomerantz LLP
For more than eight decades, the Securities Act of 1933 has protected investors by requiring full disclosure in initial public offerings. As President Roosevelt explained at the time of its enactment ...
Stradley Ronon Stevens & Young, LLP
Last year, plaintiffs filed an unprecedented 412 new federal class-action securities cases, meaning that the "likelihood of securities litigation against U.S. exchange-listed companies was greater in 2017...
Morgan Lewis
In a first step toward developing standards for advice to retail customers, the Securities and Exchange Commission recently proposed rules ...
Stroock & Stroock & Lavan LLP
On April 12, 2018, the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) issued a Risk Alert highlighting the most frequent advisory fee...
Cadwalader, Wickersham & Taft LLP
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, compliance dates, and effective dates.
Cadwalader, Wickersham & Taft LLP
MSRB reminded brokers, dealers and municipal securities dealers ("dealers") of their investor protection obligations regarding transactions in the municipal securities of distressed municipalities.
Cadwalader, Wickersham & Taft LLP
The SEC proposed to (i) require broker-dealers to act in the "best interests" of retail customers when making a recommendation of any securities transaction ...
Morrison & Foerster LLP
At an open meeting held earlier today, the SEC voted 4-1 to propose a package of rules, forms, and guidance designed to define a new "best interest" standard of care for broker-dealers dealing with retail investors.
Hughes Hubbard & Reed LLP
On Feb. 19, Hughes Hubbard led a U.S. shipbuilder to a major arbitration victory against Venezuela's Defense Ministry when a tribunal awarded our client approximately $129 million ...
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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.
Carlton Fields
Many federal, state, and local governmental employees may be eligible for awards pursuant to the SEC's whistleblower program under the Dodd-Frank Act.
Shearman & Sterling LLP
On March 20, 2018, the Supreme Court of the United States, in a unanimous decision delivered by Justice Kagan...
Shearman & Sterling LLP
On 1 December 2017, the SEC's Division of Corporation Finance released an updated version of its Accounting and Financial Reporting Manual.
Cadwalader, Wickersham & Taft LLP
The SEC filed an action to halt the initial coin offering ("ICO") of Centra Tech, Inc. ("Centra"), charging two Florida businessmen with engaging in a fraudulent scheme to raise funds from investors ...
Akin Gump Strauss Hauer & Feld LLP
The United States Supreme Court held that certain securities class actions affecting issuer defendants may be brought in state court and may not be removed to federal court.
Carlton Fields
This week's U.S. Supreme Court decision in Cyan v. Beaver County Employees Retirement Fund could have a major impact on how and where we see class action securities claims brought against...
Cadwalader, Wickersham & Taft LLP
The SEC charged a broker-dealer for failing to take action against a registered representative who conducted a pump-and-dump scheme.
Fredrikson & Byron, P.A.
As noted in a previous Ticker report, Dodd-Frank's language is ambiguous
On March 14, 2018, the SEC proposed Rule 610T of Regulation NMS under the Securities Exchange Act of 1934 to conduct a pilot program to study the effect of equity exchange transaction fees and rebates, and ...
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