Mondaq USA: Corporate/Commercial Law > Securities
WilmerHale
On January 11, 2018, the Securities and Exchange Commission's (SEC) Fixed Income Market Structure Advisory Committee (FIMSAC) held its inaugural meeting.
Withers LLP
In mid-December 2017, FINRA's Board of Governors released its 2018 proposed rulemaking agenda. The first proposal would require alternative trading systems ...
Morrison & Foerster LLP
In January 2018, FINRA issued guidance on the provisions of Rule 2165 and the amendments to Rule 4512, which were approved in February 2017.
Cadwalader, Wickersham & Taft LLP
FINRA released a content outline for the new Securities Industry Essentials ("SIE") examination.
Cadwalader, Wickersham & Taft LLP
Click on the links below to view SEC notices of exchange rule changes and proposals for the week of January 8 to January 12, 2018.
Cadwalader, Wickersham & Taft LLP
Robert J. Jackson Jr. and Hester M. Peirce were sworn in as SEC Commissioners. Commissioners Jackson and Peirce were confirmed by the U.S. Senate on December 21, 2017.
Cadwalader, Wickersham & Taft LLP
At its inaugural meeting, the SEC's Fixed Income Market Structure Advisory Committee ("FIMSAC") discussed bond market liquidity.
Cadwalader, Wickersham & Taft LLP
The U.S. Supreme Court will consider a challenge to the Securities and Exchange Commission (the "Commission") practice of hiring administrative law judges ("ALJs").
Fenwick & West LLP
This client alert is intended to remind you of certain 2017 year-end reporting requirements under Section 6039 of the Internal Revenue Code of 1986, as amended (the Code)...
Cadwalader, Wickersham & Taft LLP
The Cabinet Regulatory Tracker provides a list of upcoming comment deadlines, compliance dates, effective dates, reporting deadlines, and nomination dates.
Cadwalader, Wickersham & Taft LLP
The SEC named Dr. Timothy Timura as Deputy Director and Deputy Chief Economist in the Division of Economic and Risk Analysis. Dr. Timura will work with SEC Chief Economist Jeffrey H. Harris on economic policy...
Cadwalader, Wickersham & Taft LLP
FINRA updated certain interpretations of Financial and Operational Rules relevant to the revised standard settlement cycle.
Morrison & Foerster LLP
Until recently, broker-dealers operating in the United States weren't subject to a fiduciary standard when dealing with their retail clients.
Shearman & Sterling LLP
It is now time for foreign private issuers to prepare their annual reports on Form 20-F. For companies with a calendar year-end, the Form 20-F must be filed with the U.S.
Morrison & Foerster LLP
The staff of the SEC's Division of Investment Management released this week a series of frequently asked questions (FAQs) regarding new Rule 22e-4 (the "Liquidity Rule").
Carlton Fields
In August, Kevin Kelcourse, the associate director for examinations at the SEC's Boston Regional Office, confirmed that his office has been making "surprise" examination visits to registered advisers in the region.
Cadwalader, Wickersham & Taft LLP
In an annual Regulatory and Examination Priorities Letter, FINRA outlined key areas of focus for 2018.
Carlton Fields
Many federal, state, and local governmental employees may be eligible for awards pursuant to the SEC's whistleblower program under the Dodd-Frank Act.
Morrison & Foerster LLP
PwC recently released its 2017 Annual US Capital Markets Watch report. The report notes a 77% increase from 2016 in the number of IPOs, with 181 IPOs completed in 2017, raising $44.2 billion in proceeds.
Cadwalader, Wickersham & Taft LLP
The MSRB is seeking applicants for five positions on its Board of Directors (the "Board").
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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.
Cadwalader, Wickersham & Taft LLP
The U.S. Court of Appeals for the Second Circuit vacated a District Court judgment dismissing a securities fraud class action against several major securities exchanges.
Cadwalader, Wickersham & Taft LLP
In an annual Regulatory and Examination Priorities Letter, FINRA outlined key areas of focus for 2018.
Jones Day
The U.S. Securities and Exchange Commission has launched a special unit to bring enforcement actions against several forms of cyber misconduct.
BakerHostetler
These days it seems that everybody is considering getting into the distributed ledger technology business causing the United States Securities and Exchange Commission ...
Fenwick & West LLP
Issuers and other professionals participating in Initial Coin Offerings — widely known as ICOs — are facing the increasing threat of both U.S. Securities Exchange Commission enforcement actions ...
Proskauer Rose LLP
The complaint alleged that the facts underlying the white paper were highly material to prospective investors and that they should have been, but were not, disclosed in Alibaba's stock registration statements.
Milbank, Tweed, Hadley & McCloy LLP
Daniel Walfish Discusses the Administration's Position on the Constitutionality of the SECs ALJs.
Jones Day
While proposing the plan, the debtor is entitled to certain protections against involuntary bankruptcy petitions and other adverse creditor actions, albeit for a period of four months maximum.
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").
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