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Mayer Brown
The SEC staff relief has allowed money managers to aggregate or bunch orders for clients while accommodating different compensation and related arrangements.
Morrison & Foerster LLP
In the 1920s, a new form of investment fraud roared into the markets with the advent of the Ponzi scheme. Last week, the Securities and Exchange Commission (SEC)...
Kelley Drye & Warren LLP
On June 29, 2022, the Securities and Exchange Commission (SEC) rejected Grayscale Investments' proposal to convert Grayscale® Bitcoin Trust (OTCQX: GBTC) to a spot Bitcoin ETF.
Morrison & Foerster LLP
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important U.S. Securities and Exchange Commission (SEC)...
Cooley LLP
About a year ago, the Brookings Institution held a panel discussion regarding the role that the SEC should play in ESG investing and invited SEC Commissioner Hester Peirce to speak at the panel.
Mayer Brown
In this MB Microtalk video, Mayer Brown partner, Christina Thomas, discusses the US Securities and Exchange Commission's proposed rules on cybersecurity risks and incident disclosures...
Mayer Brown
A comfort letter is a letter delivered by an issuer's independent accountants to the underwriters or initial purchasers in connection with an offering that provides certain assurances...
Mintz
Forbes reported today that "every" U.S. crypto exchange is being investigated by the SEC. Forbes cited to an unnamed staffer for Senator Cynthia Lumis (R-Wy) as the source of the information.
Mayer Brown
In this brief Practical Guidance video, Mayer Brown partner, Brian Hirshberg, offers practice pointers for drafting and negotiating an underwriting agreement.
Mintz
As my Mintz colleague, Peter Saparoff, suggested a few years back, Section 18 of the Securities Exchange Act of 1934, "while seldom used in the past, has been increasingly used by institutional investors...
Cooley LLP
This proxy season, companies saw more shareholder proposals than in the past, a change that has been widely attributed to actions by the SEC and its Division of Corporation Finance that had the effect of making exclusion of ...
Sheppard Mullin Richter & Hampton
A recent decision by the U.S. Court of Appeals for the Second Circuit has implications for whistleblowers under the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act" or "The Act").
Mintz
Following the announcement DOJ/SEC enforcement actions alleged insider trading against a former Coinbase employee, many cried foul at the perceived "regulation by enforcement."
Allen Matkins Leck Gamble Mallory & Natsis LLP
The California Revised Uniform Limited Liability Company Act provides procedures for both voluntary and judicial dissolution. When a member or members of a California limited liability...
Mayer Brown
On July 26, 2022, William Birdthistle, the Director of the Division of Investment Management of the US Securities & Exchange Commission ("SEC"), gave remarks at the Practising Law Institute's annual...
Debevoise & Plimpton
In light of recent volatility in crypto markets and news of several crypto entities filing for bankruptcy, market participants are increasingly scrutinizing the credit of crypto intermediaries...
Shearman & Sterling LLP
On July 27, 2022, a unanimous panel of the United States Court of Appeals for the Seventh Circuit affirmed a decision of the United States District Court for the Northern District of...
Debevoise & Plimpton
On July 27, 2022, the Securities and Exchange Commission ("SEC") separately charged three financial institutions with violations of Rule 201 of Regulation S-ID ("Reg S-ID")...
Shearman & Sterling LLP
On July 26, 2022, Judge Robert W. Gettleman of the United States District Court for the Northern District of Illinois Eastern Division granted in part and denied in part a motion for summary judgment in...
Freeman Law
Recently the SEC filed suit for insider trading of securities against a high-level employee at the popular crypto exchange, Coinbase. The SEC filed its civil suit in Seattle on July 22, 2022, against and his co-conspirators.
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