Mondaq USA: Corporate/Commercial Law > Securities
Maples Group
A recent SEC action against a US investment advisor for manipulating an auction of commercial real estate assets on behalf of one client at the expense of another highlights
Milbank LLP
Milbank LLP is pleased to announce the hiring of experienced US securities lawyer and high yield specialist Joji Ozawa. Mr. Ozawa is a seasoned and experienced securities and high yield lawyer who practiced in London...
Cadwalader, Wickersham & Taft LLP
The MSRB proposal to eliminate MSRB Rule G-29 ("Availability of Board Rules") was published in the Federal Register. Comments must be submitted by May 28, 2019.
Hogan Lovells
In a recent decision that could have critical implications for corporate internal investigations conducted pursuant to a government agency's request, the Southern District of New York expressed concern...
Hunton Andrews Kurth LLP
As this short video explains, the "initial exchange offering," or IEO, is the latest innovation in the offer and sale of cryptocurrencies.
Shearman & Sterling LLP
On April 29, 2019, the United States Court of Appeals for the Second Circuit affirmed the denial of plaintiffs' motion for leave to file an amended complaint alleging securities fraud against an international...
Gibson, Dunn & Crutcher
On May 2, 2019, the U.S. Department of the Treasury's Office of Foreign Assets Control ("OFAC") released extensive new guidance regarding what constitutes an effective sanctions compliance program.
Cadwalader, Wickersham & Taft LLP
The SEC voted to propose rule amendments intended to improve the information disclosed regarding acquisitions and dispositions of businesses.
Pearl Cohen Zedek Latzer Baratz
The U.S. Securities and Exchange Commission (SEC) has published a framework for analyzing whether digital assets are "investment contracts" securities.
BakerHostetler
On April 30, 2019, the U.S. Court of Appeals for the D.C. Circuit held that an investment adviser (IA) cannot willfully make a negligent disclosure in its Forms ADV.
Cadwalader, Wickersham & Taft LLP
SEC Chair Jay Clayton defended the SEC's FY 2020 Budget Request of $1.746 billion before the U.S. Senate Committee on Appropriations, Subcommittee on Financial Services and General Government.
Cadwalader, Wickersham & Taft LLP
The MSRB reported a continuing decrease in the number of MSRB-registered municipal securities dealers ("dealers") and, conversely, less concentration of customer trades in the big dealers.
Cadwalader, Wickersham & Taft LLP
The SEC proposed amendments to the definitions of "accelerated filer" and "large accelerated filer" under Exchange Act Rule 12b-2.
Withers LLP
Join our host Joe Morales as he discusses recent legal developments including details regarding a U.S. Supreme Court case.
Mayer Brown
In April, the Securities and Exchange Commission (the "SEC") announced that it is soliciting comments on a proposed rule change submitted by The Nasdaq Stock Market LLC
Dentons
The end of 2018 was inaugurated with large-scale amendments to Russian securities market legislation aimed at improving the legal framework of the securities issuance procedure.
Day Pitney LLP
In a sign of its own deepened recognition of the risk of identity theft and other compromise of personal information, the Securities and Exchange Commission
Mayer Brown
As part of the Disclosure Effectiveness initiative, the Securities and Exchange Commission proposed amendments to address the financial disclosure requirements in connection with acquisitions
Mayer Brown
The Securities and Exchange Commission has scheduled an open meeting for May 9, 2019 at 9 am, which will be webcast.
Foley Hoag LLP
Yesterday, the SEC announced that it would hold a public meeting on Thursday, May 9, 2019 to consider whether to propose amendments to the "accelerated filer"
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Ruchelman PLLC
On August 8, 2018, the I.R.S. issued much-awaited proposed regulations under new Code §199A, which was added by the 2017 Tax Cuts and Jobs Act. The provision was initially discussed in detail in our February 2018 edition.
Jeffer Mangels Butler & Mitchell LLP
The SEC warns public companies that lax cybersecurity practices could violate rules governing internal accounting controls, and offer nine scams as cautionary tales.
Ropes & Gray LLP
The following summarizes recent legal developments of note affecting the registered fund/investment ...
Shearman & Sterling LLP
On March 20, 2019, the Securities and Exchange Commission (SEC) adopted amendments to simplify and modernize disclosure requirements of Regulation S-K and certain forms.
Cooley LLP
That's because, in 2016, the House passed the Fostering Innovation Act of 2015—the very same bill.
Mayer Brown
If you are reading this today, on April 1, and you have a December 31 fiscal year end, then you have survived your annual Form ADV amendment. Congratulations!
Morrison & Foerster LLP
Welcome to the latest issue of New York Tax Insights.
Foley & Lardner
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business.
Cooley LLP
Coming soon to a financial statement near you: CAMs! Late this summer, in audit reports for large accelerated filers with June 30 fiscal year ends, auditors will begin to disclose "critical audit matters."
Cadwalader, Wickersham & Taft LLP
The U.S. Supreme Court found that an investment banker may be held legally responsible for disseminating statements that he knew to be false, even though he was not the "maker" of the false statements.
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