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Results: 1-10 of 289

Home-Field Advantage? Scrutinizing the Independence of the SEC’s ALJs
  • Duane Morris LLP
  • USA
  • May 10 2017

In the last few weeks, the SEC and its administrative law judges ("ALJs") have tested the truthfulness of the old adage, "There's no such thing as bad


Time is Running Out for the SEC: The Circuit Split on Limiting SEC Disgorgement to a Five-Year Statute of Limitations Signals an Impending Major Change
  • Duane Morris LLP
  • USA
  • April 13 2017

Under the new Administration, we have been promised a new tone regarding how Government interfaces with the market. This "change" is of particular


Spotify May Go Public With “Self-Filing”
  • Duane Morris LLP
  • USA
  • April 8 2017

IPO alternatives appear to be alive and well as we learn from press reports that unicorn music service Spotify may go public through a “self-filing,”


“T2” Trade Settlement Arrives
  • Duane Morris LLP
  • USA
  • March 30 2017

Last week, the SEC approved a rule change that shortens the typical settlement period for public trading through brokers (known as "T" for "trading


The Growing Importance of Consumer Compliance in Community Reinvestment Act Ratings: Did the OCC Cross the Line In Its CRA Rating of Wells Fargo
  • Duane Morris LLP
  • USA
  • March 29 2017

Media reports have recently focused on the Needs to Improve Community Reinvestment Act (CRA) rating assigned to Wells Fargo Bank, National Association


Just a Snap to Huge IPO
  • Duane Morris LLP
  • USA
  • March 9 2017

It appears the initial public offering market is indeed waking up. Last Thursday, Snap Inc. raised $3.4 billion in its IPO onto the New York Stock


The Significance Of Landry In Upcoming Lucia Rehearing
  • Duane Morris LLP
  • USA
  • March 6 2017

A developing constitutional debate over the appointment of the U.S. Securities and Exchange Commission's administrative law judges (ALJs) could spell


Changes Are Coming to the SEC Enforcement Division - What Does It All Mean?
  • Duane Morris LLP
  • USA
  • February 21 2017

This week reports surfaced that a major shift in the SEC enforcement division had taken place - behind the scenes. The timing is quite interesting as


Trump’s Order on Reducing Regulations Does Not Apply to the SEC
  • Duane Morris LLP
  • USA
  • February 16 2017

On January 30, Pres. Trump issued an executive order that for every new regulation proposed, an agency must eliminate two old regulations. The order


Second Circuit Reverses Lower Court's Restrictions on the Restructuring of Bondholder Rights in Marblegate
  • Duane Morris LLP
  • USA
  • February 16 2017

Recently, in a split (2-1) decision, the United States Court of Appeals for the Second Circuit overturned the United States District Court for the