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Mayer Brown
The Securities and Exchange Commission has announced an open meeting on November 2, 2020 to consider amendments relating to the exempt offering framework.
Cadwalader, Wickersham & Taft LLP
A school for day trading securities settled SEC charges for (i) offering security-based swaps to non-eligible contract participants
Mayer Brown
SPACs continue to grow in popularity and significance in the US. Despite COVID-19, US capital markets remain active for SPAC IPOs.
Morrison & Foerster LLP
On October 7, 2020, the Securities and Exchange Commission (SEC) adopted a new fund of funds rule.
Cadwalader, Wickersham & Taft LLP
SEC Division of Investment Management Chief Accountant Alison Staloch highlighted guidance on "certain accounting, auditing, financial reporting, or other related disclosure matters."
Arnold & Porter
On October 22, 2020, the US Department of Justice (DOJ) and US Securities Exchange Commission (SEC) announced that Goldman Sachs Group Inc. (Goldman) ...
Jones Day
In 2019, the U.S. Court of Appeals for the Second Circuit made headlines when it ruled that creditors' state law fraudulent transfer claims arising from the 2007 leveraged buyout ("LBO")
Proskauer Rose LLP
Over the past few months, the Securities and Exchange Commission (the "SEC") has imposed civil penalties in the hundreds of thousands of dollars against multiple publicly traded corporations in...
Troutman Pepper Hamilton Sanders
In 2011 and 2013, Peri Domante's personal information was stolen and fraudulently used to open two accounts with Dish Networks, LLC ("Dish"), a provider of television services.
Jones Day
Throughout the COVID-19 pandemic, the U.S. Securities and Exchange Commission's Office of Compliance Inspections and Examinations ("OCIE") has continued to operate via off-site examinations and remote working arrangements.
Jones Day
FINRA has published helpful survey results on the preparedness of member firms for the anticipated cessation of LIBOR at the end of 2021.
Jones Day
The Situation: Title II of the Dodd-Frank Act created an insolvency framework for the orderly liquidation of large financial companies, including SEC-registered broker-dealers...
Morrison & Foerster LLP
Morrison & Foerster is pleased to share this 2019 - 2020 review of the responses to shareholder proposal no-action requests from the Division of Corporation Finance (the "Division")...
Shearman & Sterling LLP
On October 15, 2020, Judge Martha M. Pacold of the United States District Court for the Northern District of Illinois granted a motion to dismiss a putative securities class action asserting...
Shearman & Sterling LLP
On October 21, 2020, Judge Beth Labson Freeman of the United States District Court for the Northern District of California dismissed a putative securities class action...
Proskauer Rose LLP
On September 30, 2020, the U.S. District Court for the Northern District of Georgia granted an employer's motion to dismiss a Dodd-Frank whistleblower
Cadwalader, Wickersham & Taft LLP
SEC IM Division Director Looks To Modernize Rules For Small Fund Sponsors.
Cadwalader, Wickersham & Taft LLP
The SEC sanctioned a private equity fund adviser for overcharging management fees to a fund that it managed.
Cadwalader, Wickersham & Taft LLP
In a joint request for comment, the SEC and CFTC solicited feedback on possible methods for implementing portfolio margining of SEC- and CFTC-regulated products.
Ropes & Gray LLP
Herbalife Nutrition Ltd.'s ("Herbalife") recent settlement of bribery allegations demonstrates the U.S. government's continuing focus on China and the critical role that board members...
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