Searching Content indexed under Securities by Jones Day ordered by Published Date Descending.
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SEC Proposes To Modernize Certain Disclosures Under Regulation S-K
The Situation: In an effort to update the rules to improve disclosures for investors and to simplify compliance efforts for registrants, the U.S. Securities and Exchange Commission ("SEC")
United States
13 Sep 2019
Delaware Court Rules Appraisal Action Is A Covered "Securities Claim" Under D&O Policy
In a significant ruling for policyholders on an issue of first impression, on July 31, 2019, the Delaware Superior Court determined that shareholder appraisal actions constitute
United States
12 Sep 2019
New York Commercial Division Imposes PSLRA Discovery Stay In Securities Act Class Action
A recent decision by the New York Commercial Division held that the Private Securities Litigation Reform Act's automatic stay of discovery pending a motion to dismiss applies to Securities Act claims
United States
11 Sep 2019
FINRA Advises Member Firms To Submit Questions To The SEC On Regulation Best Interest
FINRA advises broker-dealers about the SEC's recently adopted Regulation Best Interest and solicits implementation questions.
United States
11 Sep 2019
SEC/FINRA Issue Joint Guidance On Broker-Dealer Custody Of Digital Assets
The Statement identifies several issues that broker-dealers participating in digital asset securities trades must consider, including, most notably, the custodying of such assets.
United States
11 Sep 2019
SEC Qualifies First Issuance of Digital Token Under Regulation A+
News of regulatory approvals provides some measure of optimism for the future of compliant digital token offerings and a potential path for other companies to follow.
United States
10 Sep 2019
United States
10 Sep 2019
Mandatory Summer Reading: SEC Staff Issues Rare Joint Statement On LIBOR Transition
The Divisions and the OCA released the Statement on July 12, 2019.
United States
23 Jul 2019
New Regime For Debt Prospectuses : Ready, Set, Go!
Debt capital markets players are entering into the Prospectus 3 era, with three major changes impacting debt prospectuses.
European Union
22 Jul 2019
Bank Of England Publishes Discussion Paper On Risk Management Systems For Collateral Referencing LIBOR
The BoE requests that views be submitted to the discussion paper by September 27.
9 Jul 2019
Final Rule On Regulation Best Interest Now Complete
Broker-dealers will need to review their policies and procedures on the methodology for making recommendations to ensure compliance with the Care Obligation.
United States
4 Jul 2019
SEC Explores Ways To Simplify, Harmonize, And Improve The Framework For Exempt Offerings
The Securities Act contains various exemptions from its registration requirements and authorizes the SEC to adopt additional exemptions.
United States
4 Jul 2019
Tribune District Court Rules That LBO Payments May Not Be Avoided Because Debtor Was "Customer" Of "Financial Institution"
In In re Tribune Co. Fraudulent Conveyance Litig., 2019 WL 1771786 (S.D.N.Y. Apr. 23, 2019), the U.S. District Court for the Southern District of New York denied a litigation trustee's motion to amend a complaint ...
United States
21 Jun 2019
SEC Proposes Amendments To "Accelerated Filer" And "Large Accelerated Filer" Definitions
On May 9, 2019, the SEC announced proposed amendments to the definitions of "accelerated filer" and "large accelerated filer" as set forth in Section 12b-2 under the Exchange Act.
United States
27 May 2019
Raising The Bar On "Willful" Securities Law Violations
The D.C. Circuit's decision is significant because certain SEC statutes require a finding of willfulness.
United States
16 May 2019
Delaware Supreme Court Endorses Deal Price In Statutory Appraisal Action
The decision makes clear that deal price is an appropriate indicator of fair value even where there is only one bidder.
United States
10 May 2019
SEC Issues Framework For Digital Assets And Grants First No-Action Relief To Token Issuer
Concurrently, the SEC issued a response to a no-action request regarding one such digital asset.
United States
10 Apr 2019
SEC Adopts FAST Act Amendments To Modernize And Simplify Disclosure Requirements
The following summary highlights some of the noteworthy amendments that will affect a registrant's typical SEC disclosures.
United States
8 Apr 2019
Supreme Court Expands Securities-Fraud Scheme Liability
The dissemination of false or misleading information can give rise to primary liability.
United States
4 Apr 2019
SEC's Focus On Retail Investors Targets Financial Conflicts Of Interest
The SEC staff continues to evaluate self-reports received prior to the initiative cut-off date.
United States
20 Mar 2019
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