Mondaq USA: Corporate/Commercial Law > Securities
Proskauer Rose LLP
The Supreme Court ruled today that the 1998 amendments to the federal securities laws did not strip state courts of jurisdiction over class actions alleging violations ...
Cooley LLP
Today, SCOTUS issued its opinion in Cyan Inc. v. Beaver County Employees Retirement Fund. The opinion by Justice Kagan for a unanimous Court answered two questions: Did the Securities Litigation Uniform Standards Act...
Foley Hoag LLP
A recent SEC enforcement action should serve as a potent reminder to pre-IPO and other private companies that SEC rules sometimes impose affirmative disclosure obligations on private companies...
Cadwalader, Wickersham & Taft LLP
The SEC is seeking comments on a proposed new rule that would establish a pilot program to study the effects that transaction-based fees and rebates in certain National Market System ("NMS") ...
Withers LLP
The price of bitcoin declined as regulators crack down on cryptocurrency exchanges. The Securities and Exchange Commission announced that online trading platforms should be registered with the SEC, ...
Cadwalader, Wickersham & Taft LLP
SEC Division of Investment Management Director Dalia Blass emphasized the need for SEC rulemaking on exchange-traded funds, noting that the ETF market is a $3.5 trillion market ...
Shearman & Sterling LLP
On March 12, 2018, the United States Court of Appeals for the Fifth Circuit affirmed the dismissal of a shareholder's claims to recover on behalf of Dynegy, Inc. ("Dynegy") alleged short-swing profits...
Proskauer Rose LLP
It was reported this month that ING Groep NV and a major international bank recently completed the first live securities lending transaction settled using distributed ledger technology ("DLT").
Shearman & Sterling LLP
Dollar General's "core customers" are low and fixed income households who rely on SNAP benefits.
Cadwalader, Wickersham & Taft LLP
At a U.S. House Financial Services Committee hearing, witnesses outlined their recommendations for Congress concerning the regulation of cryptocurrencies and initial coin offering ("ICO") markets.
Fredrikson & Byron, P.A.
As noted in a previous Ticker report, Dodd-Frank's language is ambiguous
Fredrikson & Byron, P.A.
Might the SEC require sunsetting of dual-class shares listed on stock exchanges? Two recent speeches by the Democrat members of the Securities and Exchange Commission (SEC)...
Fredrikson & Byron, P.A.
Small public companies may soon find life easier when it comes to filing forms and accessing capital, thanks to pending initiatives in Congress and at the SEC.
Fredrikson & Byron, P.A.
In Cyan, Inc. v. Beaver County Employees Retirement Fund,the issue before the U.S. Supreme Court is whether state courts lack jurisdiction over class actions that allege only Securities Act claims.
Cadwalader, Wickersham & Taft LLP
A health technology company and its founder agreed to settle SEC charges that it defrauded investors in relation to statements regarding its portable blood analyzer product.
Cadwalader, Wickersham & Taft LLP
The SEC proposed amendments to its rules governing liquidity risk disclosure requirements for open-end funds. The rules were initially adopted in October 2016.
Fenwick & West LLP
This is the first enforcement action to result from a sweeping SEC investigation into the Rule 701 option-granting practices of late-stage private companies begun in July 2016.
Kramer Levin Naftalis & Frankel LLP
The SEC issued a statement outlining how online trading platforms have become a popular option for investors to buy and sell digital assets, including coins and tokens offered and sold in ICOs.
Reed Smith
The City of Berkeley, California will be the first U.S. city to explore blockchain-based financing to tackle social issues such as affordable housing.
Cadwalader, Wickersham & Taft LLP
The MSRB provided guidance on minimum denominations of municipal securities.
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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.
Kramer Levin Naftalis & Frankel LLP
After our recent client alert summarizing recent U.S. regulatory developments in the crypto-world, the House of Representatives of the State of Wyoming passed HB 70, referred to as the "Utility Token Bill"...
Morrison & Foerster LLP
The Securities and Exchange Commission's Division of Enforcement (the "Division") has published its annual report for fiscal year 2017 (the "Report").
Kramer Levin Naftalis & Frankel LLP
Many of the areas they highlighted will directly affect the alternative investment sector, and private fund advisers and securities firms should pay particular attention to their activities in such areas.
Shearman & Sterling LLP
On 1 December 2017, the SEC's Division of Corporation Finance released an updated version of its Accounting and Financial Reporting Manual.
Ropes & Gray LLP
ICOs are an innovative financing tool through which companies can fund projects by utilizing the distributed ledger technology, or blockchain, that underpins cryptocurrencies
Proskauer Rose LLP
On a daily basis, companies are announcing new developments on the adoption of blockchain in core business operations. However, many of these use cases present unique legal issues.
King & Spalding LLP
Following testimony February 6th before the U.S. Senate, as well as a series of recent enforcement actions, it is clear that both the SEC and CFTC are picking up steam in their efforts to command a presence in the fast-developing world of virtual currencies.
Cadwalader, Wickersham & Taft LLP
A former hedge fund portfolio manager agreed to a permanent bar from the securities industry for allegedly mismarking certain securities in order to improperly inflate their value.
Arnold & Porter
While closed-end real estate private equity funds (Real Estate Funds) are generally structured similarly to traditional private equity funds, there are several key differences.
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