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Searching Content indexed under Securities by WilmerHale ordered by Published Date Descending.
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1
SEC Announces Changes To Its Responses To Rule 14a-8 No-Action Requests
On Friday, the Securities and Exchange Commission released an Announcement Regarding Rule 14a-8 No-Action Requests with important updates to its process of administering Exchange Act
United States
11 Sep 2019
2
Juniper FCPA Settlement Provides Useful Compliance Reminders
On August 29, 2019, the Securities and Exchange Commission ("Commission" or "SEC") agreed to resolve an enforcement action against Juniper Networks, Inc.
United States
6 Sep 2019
3
The Countdown Is On! Building A Reg BI Compliance Program As Deadlines Loom
On June 5, 2019, the SEC adopted a package of rulemakings and interpretations designed to enhance the quality and transparency of investors' relationships with broker-dealers and investment advisers.
United States
4 Sep 2019
4
SEC Releases New Guidance Related To The Proxy Voting Process For Investment Advisers And Proxy Advisory Firms
Following a 3-2 vote last week, the Securities and Exchange Commission has released two pieces of guidance related to the proxy voting process:
United States
29 Aug 2019
5
SEC Holds Kokesh Does Not Impact FINRA Industry Bar
On August 23, 2019, the Securities and Exchange Commission held in In re John M.E. Saad that the US Supreme Court's decision in Kokesh v. SEC had no impact on the Financial Industry Regulatory Authority's.
United States
29 Aug 2019
6
New York Commercial Division Justice Holds PSLRA Discovery Stay Applies To State Court Securities Act Class Actions
On August 6, 2019, New York Commercial Division Justice Andrew Borrok held that the discovery stay under the Private Securities Litigation Reform Act (PSLRA)
United States
15 Aug 2019
7
The SEC Adopts Security-Based Swap Rules Governing Capital, Margin And Segregation
On June 21, 2019, the SEC adopted a package of rules and rule amendments that set forth the capital, margin and segregation requirements for security-based swap dealers and major security-based swap participants.
United States
2 Aug 2019
8
House Financial Services Committee Introduces Legislation To Overhaul SEC Waiver Process
Over the past several weeks, competing views have emerged from Capitol Hill and the SEC over how the SEC should approach waivers of collateral consequences for parties that settle enforcement proceedings.
United States
29 Jul 2019
9
The Legend Of The "Secumodity": Can The Same Coin Be A Security Or Commodity At Different Points In Its Evolution?
In an article published in Futures and Derivatives Law Report, Petal P. Walker discusses the blurry line between a virtual currency and an investment contract.
United States
9 Jul 2019
10
Confidential Treatment Process Gets Easier
The SEC has approved rule changes that significantly simplify the process for public companies to redact confidential information from the exhibits required to be filed as part of SEC reports and registration statements.
United States
4 Jul 2019
11
SEC's Final Rules And Guidance On The Standards Of Conduct For Broker-Dealers And Investment Advisers
On June 5, 2019, the Securities and Exchange Commission approved a package of rulemakings and interpretations designed to enhance the quality and transparency of investors' relationships...
United States
18 Jun 2019
12
SEC Enforcement Alert: D.C. Circuit Rules Negligent Conduct Is Not "Willful"
On April 30, 2019, the D.C. Circuit issued an important decision in Robare Group, Ltd. v. SEC, Slip Op. No. 16-1453, which rejected the long-standing approach of the SEC that a "willful" violation of the federal securities laws ...
United States
7 Jun 2019
13
Insider Trading Law Alert: Better The Devil You Know? Tipping Liability, Martoma And The Rise Of 18 U.S.C. § 1348
This revised opinion changed the landscape of tipping jurisprudence, at least in the Second Circuit.
United States
6 Jun 2019
14
United States
6 Jun 2019
15
China Moves To Open Commodity Futures Trading To Foreign Participants
Alternatively, entities and individual investors that meet certain additional qualification requirements upon approval by the exchange may trade directly on the exchange.
China
6 Jun 2019
16
Federal Reserve Proposes Revisions To The Control Framework Under The Bank Holding Company Act
On April 23, 2019, the Federal Reserve Board ("Fed") issued a notice of proposed rulemaking proposing revisions to Regulations Y and Regulations LL.
United States
6 Jun 2019
17
Sagar Teotia Named SEC's Acting Chief Accountant
Sagar Teotia has been named as Acting Chief Accountant following Mr. Bricker's departure.
United States
3 Jun 2019
18
Mutual Fund Sponsors Beware: Recent SEC Staff Guidance Could Result In Lapse In Registration
Mutual fund sponsors should think carefully before agreeing with an SEC Staff request to delay the automatic effectiveness of a fund's annual update.
United States
22 Apr 2019
19
Final Decision In Lorenzo v. SEC
The Supreme Court yesterday took a significant step to expand the universe of actors who can be held liable for a false statement under the federal securities laws.
United States
29 Mar 2019
20
In Case You Missed It: Launch Links - Week Of February 17, 2019
Some interesting links we found across the web this week:
United States
1 Mar 2019
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