SEC Actions | USA | 19 Nov 2020
Data analytics has evolved into a key tool of the SEC’s enforcement program. The most recent example of this is a series of settled administrative…
Cadwalader Wickersham & Taft LLP | USA | 13 Jul 2020
The Cboe BYX, Cboe EDGA, Cboe EDGX and Cboe BZX exchanges filed separate Disciplinary actions against two general securities principals ("GPS") for…
Katten Muchin Rosenman LLP | USA | 5 Jun 2020
On June 1, Cboe Exchange, Inc. (Cboe) filed with the Securities and Exchange Commission a proposed rule change to amend Rule 8.16 and Rule 9.2 to…
Morgan, Lewis & Bockius LLP | USA | 8 May 2020
Welcome to the latest issue of ETF Roundup, our guide to recent legal and regulatory developments affecting the exchange-traded fund (ETF) industry…
Faegre Drinker Biddle & Reath LLP | USA | 22 Apr 2020
In April 2020, the Securities and Exchange Commission (SEC) approved rule change proposals of the three primary listing exchanges for exchange-traded…
Gilbert + Tobin | Australia | 20 Apr 2020
Welcome to the seventh edition of Expert Adviser, published quarterly by G+T’s Perth corporate advisory team and developed specifically for advisers…
Dechert LLP | USA | 15 Apr 2020
On April 6, 2020, the Securities and Exchange Commission granted the request of Cboe BZX Exchange, Inc. (CBOE) to change BZX Rule 14.11. This will…
Thompson Hine LLP | USA | 13 Apr 2020
In orders issued on April 3 to Nasdaq Stock Market LLC (Nasdaq) and on April 6 to CBOE BZX Exchange Inc. (CBOE) (each an “Exchange” and, collectively…
Katten Muchin Rosenman LLP | USA | 10 Apr 2020
On April 7, the Securities and Exchange Commission (SEC) announced that Cboe Exchange, Inc. (CBOE) proposed to amend Interpretation and Policy .01 to…
Buchalter | USA | 20 Mar 2020
In the corporate and transactional arena, U.S. and global securities markets are experiencing volatility and declines of historic proportion, and as…