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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

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