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Results: 1-10 of 5,498

Ninth Circuit Holds Transactions in Unsponsored ADRs Can Be “Domestic” Under Morrison
  • Mintz Levin
  • USA
  • August 14 2018

The Toshiba Securities Litigation stems from alleged violations of the Exchange Act, as well as the Financial Instruments and Exchange Act of Japan


SEC Denies BZX Application to List Bitcoin Trust; Commissioner Peirce Dissents
  • Shearman & Sterling LLP
  • USA
  • August 13 2018

On July 26, 2018, the Securities and Exchange Commission (SEC) denied an application for a rule change that would have allowed the Bats BZX Exchange


SEC Again Rejects Winklevoss Proposal for Bitcoin Exchange-Traded Product
  • Dechert LLP
  • USA
  • August 8 2018

The U.S. Securities and Exchange Commission on July 26, 2018 formally disapproved the proposed rule change by Bats BZX Exchange, Inc


Ninth Circuit Holds that Rule 10b-5 Could Apply to Unsponsored ADRs Traded Over the Counter
  • Linklaters LLP
  • USA
  • August 3 2018

In a ruling that potentially expands antifraud liability for non-U.S. issuers, the Ninth Circuit Court of Appeals recently held that sales of


Blockchain Developments: Food Supply Chain, Bitcoin ETPs, ICOs and Tech Adoption
  • Baker & Hostetler LLP
  • USA
  • August 3 2018

A major global technology company recently shared additional details about the Food Trust, a consortium consisting of 10 of the world’s largest


SEC Proposes Simplified Guarantor and Pledgor Disclosures in Registered Debt Offerings
  • Haynes and Boone LLP
  • USA
  • August 3 2018

On July 24, 2018, the Securities and Exchange Commission (the “SEC”) voted to propose rule amendments aimed at simplifying certain financial


SEC Issues C&DIs on Exempt Solicitations
  • Stinson Leonard Street LLP
  • USA
  • August 1 2018

We recently noted a shareholder proponent had been making aggressive use of Notices of Exempt Solicitation on EDGAR. Exchange Act Rule 14a-6(g)(1


Registered Offerings of Debt Securities: SEC Proposes Amendments to Simplify and Streamline Financial Disclosures About Issuers and Guarantors of Guaranteed Securities and Affiliates Whose Securities Collateralize Registered Securities
  • Sullivan & Cromwell LLP
  • USA
  • August 1 2018

On July 24, 2018, the SEC proposed amendments to Rules 3-10 and 3-16 of Regulation S-X, which address financial disclosure requirements for guarantors


Northern District Of California Certifies Class In Securities Stock Drop Suit, Finding That “In-and-Out” Traders Should Not Be Excluded From The Class Definition
  • Shearman & Sterling LLP
  • USA
  • July 31 2018

On July 17, 2018, Judge Jon S. Tigar of the United States District Court for the Northern District of California granted plaintiffs’ motion to certify


SEC Adopts New Transparency Requirements for NMS Stock Alternative Trading Systems
  • Schulte Roth & Zabel LLP
  • USA
  • July 31 2018

On July 18, 2018, the U.S. Securities and Exchange Commission approved amendments (“Amendments”) to Regulation ATS and Rule 3a1-1 under the Securities