Mondaq USA: Corporate/Commercial Law
In a move that will make Securities and Exchange Commission administrative proceedings look more like civil litigation in federal court, on July 13, 2016, the SEC announced that it had adopted amendments to its rules of practice.
After the proposed rules are published in the Federal Register, the comment period will be open for 60 days.
On July 13, 2016, the Securities and Exchange Commission proposed amendments to various disclosure provisions in order to eliminate duplicative provisions and modernize the relevant requirements.
On July 13, 2016, the Securities and Exchange Commission adopted amendments to the rules governing administrative proceedings before it.
Cadwalader, Wickersham & Taft LLP
Energy Metro Desk Editor John Sodergreen examined the proposed "Financial CHOICE Act," a Republican bill to replace the Dodd-Frank Act.
Cadwalader, Wickersham & Taft LLP
FINRA proposed the expansion of the Trade Reporting and Compliance Engine ("TRACE") reporting rules to include most secondary market transactions in marketable U.S. Treasury Securities.
Lowndes, Drosdick, Doster, Kantor & Reed, P.A.
The JOBS Act has finally been laid to rest, and the much anticipated final rules—by all accounts—delivered. As the dust settles, issuers and investors should make note of three key takeaways:
Kramer Levin Naftalis & Frankel LLP
On July 13, the Securities and Exchange Commission approved the adoption of amendments to the Rules of Practice that govern its administrative proceedings.
Proskauer Rose LLP
The Protecting Americans from Tax Hikes Act of 2015, enacted in December 2015, requires organizations to notify the IRS if they desire to operate under Section 501(c)(4) of the Internal Revenue Code.
Cadwalader, Wickersham & Taft LLP
FINRA and other U.S. members of the Intermarket Surveillance Group modified certain equity and option data elements for Electronic Blue Sheets.
Kramer Levin Naftalis & Frankel LLP
Market participants involved in distressed exchange offers have become accustomed to grappling with the implications of Trust Indenture Act Section 316(b) in the context of potential exit consents, i.e., are the contemplated amendments to the indenture governing the securities subject to the exchange significant enough to impair or affect the right of a holder to receive payment of principal and interest on or after the due dates of the relevant note?
Morrison & Foerster LLP
On July 1, 2016, the SEC approved NASDAQ's proposed Rule 5250(b)(3), as amended by Amendment No. 2 filed on June 30, 2016...
Jones Day
In June 2016, New York's highest court reversed an important 2014 decision by an intermediate appellate court that had expanded the application of the common interest doctrine to commercial transactions, such as mergers, where litigation was neither pending nor anticipated.
Davis & Gilbert
In Ambac v. Countrywide, plaintiff Ambac Assurance Corporation, a monoline insurer, guaranteed payments on certain residential mortgage-backed securities issued by defendant Countrywide Home Loans Inc.
SACRAMENTO — Tucked into Square Inc.'s May 5 earnings report was a piece of jarring news:
Silicon Valley is the capital of venture capital and the acknowledged headquarters of disruptive ideas, fierce determination and hard work.
Morrison & Foerster LLP
During the second quarter 2016, the IPO market improved with 34 IPOs raising approximately $5.5 billion, according to Renaissance Capital.
Morrison & Foerster LLP
Congressman Himes (CT) and eight other members of Congress wrote to FINRA and to the Securities and Exchange Commission questioning the typical 7% gross spread in U.S. IPOs.
Fox Rothschild LLP
By expanding the irrebuttable application of the business judgment rule, the Court necessarily expanded the types and number of mergers that will now be, at least practically speaking, insulated from stockholder challenges.
Shearman & Sterling LLP
On July 1, 2016, the Securities and Exchange Commission (the "SEC") approved a change to the Listing Rules of NASDAQ Stock Market LLC.
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With New Year's behind us and roughly four and a half months to go until the calendar 2015 conflict minerals filings are due, many companies are ramping up their compliance efforts in earnest.
Herrick, Feinstein LLP
Online terms of service, terms of use or "terms and conditions" ("TOS") are ubiquitous. But merely posting TOS on a website does not make them enforceable.
Foley Hoag LLP
In each of these cases, a pre-existing account will not become subject to FATCA until its value exceeds $1 million on a subsequent December 31st.
Hughes Hubbard & Reed LLP
Morgan Stanley Smith Barney LLC recently agreed to pay a $1 million penalty to the U.S. Securities and Exchange Commission after a Morgan Stanley employee downloaded and exposed sensitive investor information.
Ropes & Gray LLP
Late last Wednesday, the European Union reached agreement on the broad framework of a conflict minerals regulation.
Fox Rothschild LLP
This month Wendy's revealed that the security breach it disclosed earlier this year was much larger than it initially reported.
Miller Friel
Our fourth entry in our series of Five Things You Need To Know About D&O Insurance is Improper Defense Tactics. Defense should be a simple issue.
Ropes & Gray LLP
The Market Abuse Regulation will take effect on 3 July 2016. MAR contains rules on insider dealing, unlawful disclosure of inside information and market manipulation that will apply in the European Economic Area.
Troutman Sanders LLP
On June 2, the Consumer Financial Protection Bureau released a newly proposed rule that, if enacted, will place new burdens on lenders who offer consumers payday loans...
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