Mondaq USA: Corporate/Commercial Law > Securities
Orrick
On September 26, 2019, the Securities and Exchange Commission (SEC) adopted Rule 163B permitting all companies to use test-the-waters (TTW) communications
Akin Gump Strauss Hauer & Feld LLP
While the Securities and Exchange Commission (SEC) brought several enforcement actions in 2018-19, the most significant new developments were published interpretations and alerts.
Wilson Sonsini Goodrich & Rosati
This white paper discusses considerations related to conducting a token offering under Regulation A under the Securities Act of 1933 (the "Securities Act"). The benefit of this strategy...
Debevoise & Plimpton
In an order dated August 29, 2019, and unsealed earlier this month, Judge Nicholas Garaufis of the U.S. District Court for the Eastern District of New York issued a significant ruling on the...
Debevoise & Plimpton
2019 continues to be an active year for FCPA enforcement. In the period from July to September, the SEC brought corporate enforcement actions addressing hiring practices (Deutsche Bank) and sales...
Mayer Brown
Bylined article by Financial Services Regulatory & Enforcement partner Jeffrey Taft and associates Matthew Bizanz and Leslie Cruz.
WilmerHale
On Friday, the Securities and Exchange Commission's Division of Corporation Finance announced big changes in the internal structure of its disclosure program.
Jones Day
The common thread that seems to explain the Second Circuit's divergent decisions in Brent Crude and Choi is the location of the alleged misconduct.
Squire Patton Boggs LLP
Taxable debt tempts us to put the Internal Revenue Code back on the library shelf and the tax lawyers back into their pen.
Mayer Brown
A large manufacturer of consumer products invests in new technology to record, store and analyze customer service calls.
Cadwalader, Wickersham & Taft LLP
The SEC proposal to (i) update the statistical disclosures for bank and savings and loan registrants and (ii) eliminate redundant disclosures was published in the Federal Register.
Cadwalader, Wickersham & Taft LLP
A broker-dealer settled FINRA charges for failing to implement an adequate supervisory system to address short positions in tax-exempt municipal bonds.
O'Melveny & Myers LLP
On September 26, 2019, the Securities and Exchange Commission (SEC) announced that it adopted Rule 163B under the Securities Act of 1933
Ropes & Gray LLP
The private credit industry grew by leaps and bounds over the past decade: AUM jumped to $769 billion as of June 2018, from $275 billion in 2009.
Hogan Lovells
The SEC's Division of Corporation Finance recently announced changes to its process for responding to no-action requests that seek exclusion from proxy materials of shareholder
Proskauer Rose LLP
Regulation of Custodial Practices under the Investment Advisers Act of 1940 is a comprehensive outline summarizing SEC regulatory requirements for investment advisers that have ...
Cleary Gottlieb Steen & Hamilton LLP
On September 4, 2019, the SEC's Office of Compliance Inspections and Examinations ("OCIE") issued a Risk Alert addressing the most common compliance issues it identified in examinations of ...
Cadwalader, Wickersham & Taft LLP
The SEC proposed rescinding certain exceptions under Regulation NMS concerning fee changes to a national market system plan.
Milbank LLP
Milbank LLP has achieved a significant victory before the United States Court of Appeals for the Ninth Circuit on behalf of Primero Mining Corp.
Mayer Brown
The relationship between record dates and ex-dividend dates (or "ex-dates") for dividends is sometimes unclear to market participants, ...
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Torys LLP
The work of proxy advisory firms has been on the SEC's radar for several years. Extensive consultations with market participants and research into the role of proxy advisory firms
Reed Smith
In Securities and Exchange Commission v. ICOBox et al,[1] the Securities and Exchange Commission ("SEC") alleges that defendant ICOBox and its founder
Cooley LLP
According to this recent study from consulting firm McKinsey, investors want to see a different kind of sustainability reporting.
Winston & Strawn LLP
We hope that commenters will make sure we get this balance right by letting us know what, if any, specific measures would be useful for investors.
Pryor Cashman LLP
On September 30, 2019, Block.one became the most recent startup to settle with the SEC over an initial coin offering ("ICO").
Kirkland & Ellis International LLP
The SEC's Division of Corporation Finance announced that, starting with the 2019-2020 proxy season, it may issue oral rather than written guidance for some requests to exclude Rule 14a-8 shareholder
Cooley LLP
In a post last month, I noted that, notwithstanding the growth in the number of shareholder proposals related to corporate social responsibility, for the 2019
Proskauer Rose LLP
On July 10, the Securities and Exchange Commission (the "SEC") qualified Blockstack PBC's ("Blockstack's") offering circular, enabling Blockstack to commence sales and distribution of up to $40 million worth of its Stacks Tokens ("Stacks") under Regulation A.
Cooley LLP
Who else but Delaware Chief Justice Leo Strine would bid his farewell to the Delaware bench with nothing less ambitious than a "comprehensive proposal to reform the American corporate governance system".
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