Mondaq USA: Corporate/Commercial Law
Proskauer Rose LLP
This lawsuit comes in the wake of heightened SEC scrutiny of cryptoasset token issuances.
Proskauer Rose LLP
On May 29, the SEC announced that it had secured injunctive relief halting an allegedly "ongoing fraud" involving an unregistered, non-exempt ICO that raised as much as $21 million in cryptoassets.
Morgan Lewis
The US Securities and Exchange Commission recently adopted Rule 30e-3 under the Investment Company Act of 1940, which will provide registered funds with a "notice and access" option...
Sheppard Mullin Richter & Hampton
A recent California case may force companies doing business with foreign entities to reconsider—and maybe rewrite—their contracts.
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
This additional flexibility is one more step forward in facilitating the raising of capital for emerging companies.
Morrison & Foerster LLP
On May 24, 2018, President Trump signed into law the Economic Growth, Regulatory Relief, and Consumer Protection Act
Foley Hoag LLP
Every day it seems there is another outcry over excessive executive compensation at public companies.
Cooley LLP
The announcement indicates that Corp Fin intends to post these letters on EDGAR within 10 calendar days of issuance.
Seyfarth Shaw LLP
A developing market for owners of cannabis businesses looking for a potential buyer are SPACs, special purpose acquisition companies.
Foley & Lardner
Many investors treat the mandatory redemption date for preferred stock as the equivalent of a loan maturity date.
Cadwalader, Wickersham & Taft LLP
The MSRB filed a proposed rule change to amend MSRB Rule G-3 regarding the professional qualification requirements for broker-dealers ...
Cadwalader, Wickersham & Taft LLP
SEC Commissioner Robert J. Jackson Jr. advocated for the review and revision of SEC rules to limit executives from using stock buybacks to cash out at the expense of investors.
Kramer Levin Naftalis & Frankel LLP
OppenheimerFunds and Carlyle partnered to launch OFI Carlyle Private Credit Fund.
Cooley LLP
In remarks Monday before the Center for American Progress, SEC Commissioner Robert Jackson discussed his recent research on corporate stock buybacks ...
Ropes & Gray LLP
Dan O'Connor, co-leader of Ropes & Gray's securities & futures enforcement practice, addresses the recent uptick in how the SEC is approaching issues at fixed income and credit funds.
Duff and Phelps
Most unclaimed property reporting laws require that companies that are "holders" of potentially abandoned property notify apparent owners before turning over their funds to the states.
Withers LLP
On April 18, 2018, the SEC proposed new rules requiring registered investment advisers and broker-dealers to provide retail investors with a client relationship summary ...
Cooley LLP
Besides shock and awe, did pay-ratio disclosure have any immediate practical consequences? Well, for one, if a company did business in Portland, Oregon, the answer could well be "yes."
Cadwalader, Wickersham & Taft LLP
Click on the links to view SEC notices of exchange rule changes and proposals for the week of June 4 to June 8, 2018.
For companies with an international profile, the ASX isn't the only exchange on which they can list. Other exchanges may be more suitable, depending on where the company carries on business ...
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Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
Carlton Fields
As of this inaugural publication, there exists no uniformity with respect to how businesses that deal in virtual currencies (also known as "cryptocurrencies") such as Bitcoin are treated among the states.
Schnader Harrison Segal & Lewis LLP
Last November, Deputy Attorney General Rod Rosenstein announced a new enforcement policy. Under the new policy, businesses subject to the FCPA may avoid criminal liability by self-reporting wrongdoing, ...
Jones Day
The Situation: In what may indicate a sea change in terms of who the Department of Justice ("DOJ") is willing to pursue in False Claims Act cases, a private equity firm has been named as a co-defendant in a False Claims Act complaint, along with one of its portfolio companies.
Cadwalader, Wickersham & Taft LLP
SEC Division of Risk and Analysis ("DERA") Director and Chief Economist Jeffrey H. Harris will step down from his position and return to academia on a full-time basis.
In a speech delivered at last week's 2018 Baruch College Financial Reporting Conference, SEC Chief Accountant Wes Bricker discussed objectives of financial reporting and its importance to the markets.
Cooley LLP
According to a new report from the EY Center for Board Matters, 54% of the 2017 class of directors of Fortune 100 companies served in non-CEO roles and 40% were female.
Fenwick & West LLP
The Securities Enforcement Forum West 2018 brought together current and former senior U.S. Securities and Exchange Commission and U.S. Department of Justice officials, securities enforcement...
Cooley LLP
As discussed in this PubCo post, both ISS and Glass Lewis recommended voting against a proposal to ratify the appointment of GE's auditor, KPMG, at the 2018 GE annual shareholders meeting...
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
This case stems from alleged misstatement made by Volkswagen Group of America Finance ("VWGoAF") in an Offering Memorandum governing the issuance of three sets of bonds.
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