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Searching Content indexed under Securities by Foley & Lardner ordered by Published Date Descending.
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1
A Review Of Recent Whistleblower Developments - 15 April 2019
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business.
United States
1 May 2019
2
A Summary Of Certain Recent Enforcement And Non-Enforcement Actions
On March 27th, the Supreme Court issued a 1934 Act Rule 10b-5 opinion that will have implications for sponsors of private funds and their placement agents.
United States
16 Apr 2019
3
SEC Modernizes And Simplifies Disclosure Requirements
On March 20, 2019, the U.S. SEC announced it had adopted a series of amendments to improve the readability and navigability of company disclosures, and to discourage the disclosure of immaterial or repetitive information.
United States
10 Apr 2019
4
Hart-Scott-Rodino Reporting Threshold Reaches $90 Million
On March 4, 2019, the Federal Register published FTC notices with the latest annual adjustments to the statutory thresholds under both the Hart-Scott-Rodino Antitrust Improvements Act of 1976
United States
13 Mar 2019
5
A Review Of Recent Whistleblower Developments - 28 January 2019
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business.
United States
31 Jan 2019
6
SEC Adopts Final Rules For Disclosure Of Hedging Policies
The U.S. Securities and Exchange Commission recently announced that it has approved final rules implementing Section 955 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
United States
17 Jan 2019
7
SEC Enjoins An ICO For False Claims
The Securities and Exchange Commission (SEC) filed a "complaint unsealed yesterday alleges that Blockvest falsely claimed its ICO and its affiliates received regulatory approval from various agencies,
United States
17 Dec 2018
8
SEC Enjoins An ICO For False Claims!
The Securities and Exchange Commission (SEC) filed a "complaint unsealed yesterday alleges that Blockvest falsely claimed its ICO and its affiliates received regulatory approval
United States
22 Oct 2018
9
California Codifies Gender Diversity Requirements For Public Company Boards
California is the first state to codify boardroom gender diversity requirements. On September 30, 2018, California Governor Jerry Brown signed into law Senate Bill 826, which requires publicly traded
United States
10 Oct 2018
10
SCOTUS Keeps Door Open For Federal-Law, State-Court Securities Class Actions. Where Does This Leave Katz?
In Cyan, Inc. v. Beaver County Employees Retirement Fund, No. 15-1439 (Mar. 20, 2018), the Supreme Court recently held that certain federal securities-law claims could proceed in state courts...
United States
3 Oct 2018
11
SEC Eliminates Redundant Disclosure Requirements
On August 17, 2018, the U.S. Securities and Exchange Commission (SEC) announced that it had adopted a wide-ranging set of amendments (the "amendments") ...
United States
13 Sep 2018
12
SEC Adds Two New Events To Rule 15c2-12: Could Have Far-Reaching Impact On Issuers And Obligors Of Municipal Securities
On August 20, 2018, the Securities and Exchange Commission ("SEC") issued Release No. 34-83885 (the "Release") adding two new events (the "New Events") ...
United States
5 Sep 2018
13
Regulation In Higher Demand As The Cryptocurrency Industry Matures
Investors and executives in the fast-moving world of cryptocurrency favor regulation – particularly when it comes to initial offerings, according to Foley's 2018 Cryptocurrency Survey.
United States
20 Aug 2018
14
SEC Announces Upcoming Roundtable On The Proxy Process
On July 30, 2018, the United States Securities and Exchange Commission (the "SEC") announced that it intends to host a roundtable in the fall 2018 ...
United States
15 Aug 2018
15
Counsel: Remember To Take A Look At The C-Suite
Recent events involving the former chief executive officer of Energy XXI serve as a reminder that chapter 11 counsel, committees and committee counsel should take a closer look at the C-suite.
United States
7 Aug 2018
16
Common Misconceptions Regarding Preferred Stock Create Risk Of Costly Mistakes
Preferred stock is commonly used for venture capital and private equity investments.
United States
3 Aug 2018
17
Is My Advisor A "Finder" Or A "Broker"? Avoiding The Pitfalls Of Raising Capital Using Unlicensed Broker-Dealers
Companies seeking to expand operations often face numerous challenges. One such challenge is raising the capital necessary to make such an expansion possible.
United States
24 Jul 2018
18
A Review of Recent Whistleblower Developments - 17 April 2018
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business.
United States
19 Apr 2018
19
Only Persons Who Report Security Violations To The SEC Are Whistleblowers Under Dodd-Frank: Supreme Court Decides Digital Realty Trust Case
The Supreme Court in Digital Realty Trust narrowed the definition of a whistleblower under the Dodd-Frank Act only to those persons who have provided information of a securities laws violation to the U.S. Securities and Exchange Commission (SEC), resolving a split between the Fifth and Ninth Circuits. Digital Realty Trust, Inc. v. Somers, ___ U.S. ___, No. 16-1276 (Feb. 21, 2018).
United States
23 Feb 2018
20
Private Funds And Managers – Navigating Broker-Dealer Requirements
When looking to raise capital, broker-dealer compliance may not be at the forefront of a private fund manager's mind. However, engaging individuals (including the fund manager's employees) ...
United States
22 Nov 2017
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