Mondaq USA: Corporate/Commercial Law > Securities
Cadwalader, Wickersham & Taft LLP
The SEC charged an individual from Virginia as a co-conspirator in a scheme to manipulate the price of certain issuer securities.
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.
Shearman & Sterling LLP
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms ...
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:
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...
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...
WilmerHale
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).
WilmerHale
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.
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
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.
Cadwalader, Wickersham & Taft LLP
The SEC charged the former CEO of a payment systems company and his girlfriend with insider trading ahead of a merger announcement.
Cadwalader, Wickersham & Taft LLP
A federal jury in the U.S. District Court for the Eastern District of New York convicted a former hedge fund manager and a former securities trader of various securities fraud charges for their roles...
Mayer Brown
The SEC will hold an open meeting on July 18th in order to consider the changes to Rule 701 required by the Crapo Act about which we previously blogged, as well as to consider the release...
Mayer Brown
The U.S. IPO market has kept a steady pace through the second half of 2018, according to EY's quarterly IPO trends report.
Shearman & Sterling LLP
The Securities and Exchange Commission on June 28, 2018 proposed a long-anticipated rule that would allow most exchange-traded funds (ETFs) ...
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Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
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.
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.
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.
Cooley LLP
For those of you who have been waiting for those big changes to Dodd-Frank to materialize, don't hold your breath; at least as far as the SEC is concerned, the vast majority of those rules...
Shearman & Sterling LLP
On March 19, 2018, the SEC announced three multi-million dollar awards to whistle-blowers to reward them for reporting misconduct.
Mayer Brown
The use of social media raises many securities law and compliance challenges for issuers, broker-dealers, and investment advisers.
Mayer Brown
As we discussed in a prior post, Commissioner Jackson has spoken out on transactions undertaken by public company executives in close proximity to their companies' stock buybacks.
Mayer Brown
This Thursday, the SEC will hold an open meeting to consider, among other things, proposed amendments to the definition of "smaller reporting company", as well as proposed amendments to rules and forms requiring the use of Inline XBRL.
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
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