Mondaq USA: Corporate/Commercial Law
Cadwalader, Wickersham & Taft LLP
FINRA fined a broker-dealer ("BD") and its vice president for failing to supervise the BD's president regarding the sale of securities in a series of private placements.
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
As anticipated, securities class action filings remained high in 2018, with more than 400 filings in federal court, and the number is expected to remain high in 2019.
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
Over the course of the past year, we have observed a progressive increase in the frequency with which representations and warranties insurance (RWI) has been considered for Latin America M&A transactions.
Cadwalader, Wickersham & Taft LLP
The SEC stayed all outstanding administrative proceedings due to the federal government shutdown.
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
The Delaware courts issued a number of significant decisions in 2018 that are likely to have ripple effects throughout 2019.
Cadwalader, Wickersham & Taft LLP
The MSRB noted that the pilot enrollment period also has been moved to March 4-15, 2019, and that the permanent Series 54 examinations will be available in Fall 2019.
As chief compliance officers prepare for their annual compliance reviews, they should familiarize themselves with the examination priorities letter the Securities and Exchange Commission (SEC)
McDermott Will & Emery
If the Delaware Office of Unclaimed Property believes that a person may have filed an "inaccurate, incomplete, or false report," the State Escheator may authorize a "compliance review" under Del. Code Ann. tit. 12, § 1170(b).
Baker Donelson
Imagine $221 million in cash just sitting on a table.
Cadwalader, Wickersham & Taft LLP
In a parallel action, the DOJ filed related criminal charges against the Ukrainian hacker and one of the traders based in Russia.
Ward and Smith, P.A.
As a result, the Court upheld Mr. Emerson's termination.
Duane Morris LLP
Given the shutdown of the SEC as part of the wider government shutdown, we are seeing many registration statements being filed with no delaying amendment language and with the language
Shearman & Sterling LLP
On January 14, 2019, the United States Supreme Court invited the Solicitor General to file a brief expressing the views of the United States in connection with a pending petition for writ of certiorari regarding whether, ...
In 2017, courts across this country were split on whether plaintiffs could assert a class action alleging claims under the Securities Act of 1933 (which provides a private right of action
Cadwalader, Wickersham & Taft LLP
The MSRB provided additional support to help market participants comply with SEC amendments to Exchange Act Rule 15c2-12 that require municipal securities issuers and obligated persons to disclose material financial obligations to investors.
Cadwalader, Wickersham & Taft LLP
University of Chicago Professor M. Todd Henderson and NYU Professor Max Raskin proposed an operational test for determining whether a digital asset should be considered a security under Securities Act Sections 2 and 3.
Arnold & Porter
On January 4, 2019, the Supreme Court granted a petition for a writ of certiorari filed by the defendants in Varjabedian v. Emulex Corp.
Foley Hoag LLP
The SEC's Division of Corporation Finance has posted helpful FAQs about the impact of the government shutdown on registration statements for public offerings
Ogletree, Deakins, Nash, Smoak & Stewart
The year 2018 brought increased activity and significant changes to the Office of Federal Contract Compliance Programs (OFCCP)
Sheppard Mullin Richter & Hampton
Last month, the U.S. Securities and Exchange Commission ("SEC") announced it had adopted final rules to amend certain parts of Regulation A promulgated under the Securities Act of 1933 ("Securities Act").
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Lewis Brisbois Bisgaard & Smith LLP
The 2018 California legislative session was another busy year with numerous employment-related bill signed into law.
Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
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.
Mayer Brown
RegTech may be particularly helpful as FINRA members begin to engage in electronic structured products trading platforms.
Kramer Levin Naftalis & Frankel LLP
At a time when breaking norms has become the new normal, the recent battle between Tesla's charismatic chief executive, Elon Musk, and the Securities and Exchange Commission's regulatory...
Matson Driscoll & Damico
In my previous article, I discussed the critical need for business owners to have their business valued by a professional appraiser.
Clyde & Co
In 2018, insurtech has transitioned in the US from the novelty fringes of the insurance industry to take centre stage – that is, insurtech has come to be seen as a broad range of potential insurance
Proskauer Rose LLP
California overhauled its Rules of Professional Conduct effective November 1, 2018.
Pryor Cashman LLP
Pryor Cashman represented Boustead Securities, LLC, China Renaissance Securities (HK) Limited and AMTD Global Markets Limited ...
Frankfurt Kurnit Klein & Selz
Vermont's new Data Broker Regulation ("Regulation") takes effect on January 1, 2019.
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