Mondaq USA: Corporate/Commercial Law > Securities
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...
Ropes & Gray LLP
On June 5, 2018, the SEC's Division of Investment Management supplemented its Staff Responses to Questions About the Custody Rule to respond to a significant ambiguity in its prior custody guidance ...
Morrison & Foerster LLP
On May 24, 2018, President Trump signed into law the Economic Growth, Regulatory Relief, and Consumer Protection Act
Cooley LLP
For those of you who have been waiting for those big changes to Dodd-Frank to materialize, don't hold your breath; at least as far as the SEC is concerned, the vast majority of those rules...
Shearman & Sterling LLP
On June 4, 2018, Judge Yvonne Gonzalez Rogers of the United States District Court for the Northern District of California dismissed with prejudice a class action alleging that Dynavax...
Cooley LLP
The announcement indicates that Corp Fin intends to post these letters on EDGAR within 10 calendar days of issuance.
Carlton Fields
Today, the Supreme Court analyzed the shortcomings of this possibility and unanimously snuffed out serial class action tolling.
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.
Proskauer Rose LLP
BofI shareholders filed a putative class action securities fraud suit when BofI's stock price fell over 30% after news broke of the whistleblower litigation.
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 ...
Proskauer Rose LLP
The Supreme Court ruled today that judicially created principles that toll statutes of limitations for class members in timely filed class actions apply only to subsequently filed individual actions ...
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.
Cadwalader, Wickersham & Taft LLP
The National Futures Association ("NFA") submitted a proposal to update the risk disclosure statement for security futures contracts that broker-dealers are required to provide to a customer prior to trading.
Dentons
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.
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.
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...
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.
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.
Proskauer Rose LLP
This lawsuit comes in the wake of heightened SEC scrutiny of cryptoasset token issuances.
Fenwick & West LLP
This practice note discusses seed financings. Start-up companies use seed financings primarily to raise the capital required to build a minimum viable product and test their product-market fit.
Shearman & Sterling LLP
On February 21, 2018, the United States Supreme Court unanimously held that the anti-retaliation provisions of the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act ...
Shearman & Sterling LLP
On March 19, 2018, the SEC announced three multi-million dollar awards to whistle-blowers to reward them for reporting misconduct.
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