Search
Searching Content indexed under Securities by Reed Smith ordered by Published Date Descending.
Links to Result pages
 
1 2 3 4 5 6 7 8  
>>Next
 
Title
Country
Organisation
Author
Date
1
U.S. Securities And Exchange Commission Publishes Joint Statement On Broker-Dealer Custody Of Digital Asset Securities
The Joint Statement noted the Regulators' discussions with these industry participants have contributed to the Regulators' ever-evolving understanding of how certain federal securities laws and FINRA rules may affect or be applicable to those industry participants.
United States
18 Jul 2019
2
FINRA Issues First Litigated Enforcement Action Against Crowdfunding Portal
On June 5, 2019, a FINRA panel handed down its first enforcement action against a funding portal.
United States
26 Jun 2019
3
New Jersey Issues Rule Proposal On Uniform Fiduciary standard
Yesterday the New Jersey Bureau of Securities ("NJBOS") issued its Rule Proposal titled "Fiduciary Duty of Broker-Dealers, Agents, Investment Advisers, and Investment Adviser Representatives".
United States
2 May 2019
4
SEC Releases Commentary Applying Howey Test To Digital Assets
On April 3, 2019, the U.S. Securities and Exchange Commission (SEC) took a first step toward providing greater clarity on the key question of how to evaluate whether transactions involving issuance or sales...
United States
23 Apr 2019
5
Lorenzo v. SEC Restores Primary Liability For Misstatements
In a clear win for the Securities and Exchange Commission (SEC), the U.S. Supreme Court held that a person who knowingly disseminates a misstatement about a security can be primarily liable
United States
22 Apr 2019
6
Puffery About Regulatory Compliance Is Not A Material Misstatement
When the blog receives a case that is a bit off-center, involving odd facts or a different area of law, we grab it as our weekly writing assignment.
United States
8 Apr 2019
7
Federal Court Deals SEC A Setback In Blockvest ICO Litigation
On November 28, 2018, the U.S. Securities and Exchange Commission's (SEC) request for a preliminary injunction against Defendants Blockvest
United States
6 Dec 2018
8
Federal Court Denies SEC Injunction In Blockvest ICO
On November 28, 2018, the United States District Court for the Southern District of California denied the U.S. Securities and Exchange Commission's (SEC) request for a preliminary injunction against Defendants Blockvest.
United States
5 Dec 2018
9
SEC Settlement Of Two ICOs Based On Sales Of Unregistered Securities: No Fraud Claims Asserted
On Friday, November 16, 2018, the U.S. Securities and Exchange Commission (SEC) announced that it settled two cases against digital token issuers.
United States
30 Nov 2018
10
SEC Settles Two ICO Enforcement Actions
The U.S. Securities and Exchange Commission (SEC) recently settled two initial coin offering (ICO) enforcement actions grounded on the sale of unregistered securities.
United States
30 Nov 2018
11
New Jersey Bureau Of Securities ("NJBOS") Holds Second Public Hearing On Its Pre-Proposal For A Rule Implementing A Uniform Fiduciary Standard
As noted in our prior update, we continue to cover the NJBOS' rulemaking activity relating to a uniform fiduciary standard applicable to all investment professionals.
United States
26 Nov 2018
12
Highlighting The "SEC" In Cybersecurity: Continued Regulatory Focus On Preparedness And Response
In recent months, the U.S. Securities and Exchange Commission ("SEC") has emphasized cybersecurity as both an enforcement priority and corporate responsibility, demonstrating its continued focus...
United States
14 Nov 2018
13
SEC In First Enforcement Action Against Token Exchange
On November 8, 2018, the U.S. Securities and Exchange Commission (the "SEC") settled its first case against an unregistered cryptocurrency exchange.
United States
14 Nov 2018
14
Today The New Jersey Bureau Of Securities ("NJBOS") Began Public Hearings On Its Pre-Proposal For A Rule Implementing A Uniform Fiduciary Standard For Investment Professionals
This morning we attended the first public hearing held by the NJBOS concerning its pre-proposal to adopt a rule implementing a uniform fiduciary standard for investment professionals, including broker-dealers...
United States
9 Nov 2018
15
New Jersey Bureau Of Securities Provides Formal Notice Of Pre-Proposal Regarding Fiduciary Standard
Today the New Jersey Bureau of Securities began rulemaking on a proposed uniform fiduciary standard for investment professionals.
United States
17 Oct 2018
16
Healthcare Investors, Innovators Wanted For HHS Summit – Nominations Due October 3, 2018
HHS Deputy Secretary Hargan has announced the creation of the "Deputy Secretary's Innovation and Investment Summit" (DSIIS).
United States
28 Sep 2018
17
No Uniform Fiduciary Standard – Not So Fast Says New Jersey
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.
United States
21 Sep 2018
18
Regulation A+: A Path To Market For Crypto Companies?
In addition, once a company has completed an initial public offering, it must comply with extensive ongoing SEC disclosure requirements.
United States
29 Aug 2018
19
Applying Howey, Court Concludes That Centra Token Likely A Security:
While the SEC continues to target fraudulent crypto-projects, we've seen a marked increase in the number of class actions targeting a wider-range of ICOs
United States
9 Jul 2018
20
Berkeley To Use Blockchain For Tokenized Bonds
The City of Berkeley, California will be the first U.S. city to explore blockchain-based financing to tackle social issues such as affordable housing.
United States
15 Mar 2018
Links to Result pages
 
1 2 3 4 5 6 7 8  
>>Next