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NASDAQ proposes internal audit function requirement for listed issuers
  • Katten Muchin Rosenman LLP
  • USA
  • March 22 2013

On March 4, the Securities and Exchange Commission published notice that The NASDAQ Stock Market LLC (NASDAQ) had filed a proposed new rule that

SEC orders additional proceedings on proposed volatility-based trading halt
  • Winston & Strawn LLP
  • USA
  • October 18 2010

On October 13th, the SEC issued an order instituting proceedings to determine whether to disapprove NASDAQ Stock Market's proposed adoption, on a pilot basis, of a volatility-based trading halt for 100 Nasdaq-listed securities

Understanding the VIE Structure: necessary elements for success and the legal risks involved
  • Cadwalader Wickersham & Taft LLP
  • USA
  • August 10 2011

The “variable interest entity” structure (the “VIE Structure”) has been the investment structure of choice for foreign investors to navigate through the grey areas of PRC law on foreign direct investment (“FDI”) for over a decade

SFC levy and investor compensation levy exemptions for SEHK market makers
  • Freshfields Bruckhaus Deringer LLP
  • Hong Kong
  • October 7 2008

Amendments to the Securities and Futures (Levy) Order and the Securities and Futures (Investor Compensation Levy) Rules (Statutory Rules) came into effect on 12 July 2008 to facilitate the launch of new exchange-traded products with market-making facilities and to promote participation in the futures market

NASDAQ proposes additional listing criteria for commodity stockpiling companies
  • Winston & Strawn LLP
  • USA
  • November 8 2010

On October 28th, the NASDAQ Stock Market proposed additional criteria for listing commodity stockpiling companies that have indicated that their business plan is to buy and hold commodities

CBOE proposes new order type
  • Katten Muchin Rosenman LLP
  • USA
  • September 5 2008

The Chicago Board Options Exchange (CBOE) proposed to modify its Rule 6.53 to allow for the submission of attributable orders (i.e., orders that allow users to voluntarily display firm IDs), in connection with certain CBOE order processes

SEC institutes disapproval proceedings for proposed rule concerning commodity stockpiling companies
  • Winston & Strawn LLP
  • USA
  • February 7 2011

On January 31st, the SEC instituted proceedings to determine whether to disapprove the NASDAQ Stock Market's proposal to adopt additional listing standards for companies that have indicated that their business plan is to purchase and stockpile raw materials or other commodities

Overview of the public M&A regime in the UAE
  • Latham & Watkins LLP
  • United Arab Emirates
  • June 1 2010

Set out below is a high level overview of the M&A regimes applicable to target companies listed on exchanges in the United Arab Emirates (the "UAE"

Exchange Issues Warning to Trading Firm for Non-Intentional Sell Instead of Buy Order of Electricity Futures Relying on Its Market Manipulation Prohibition
  • Katten Muchin Rosenman LLP
  • USA
  • June 26 2016

Last week the Board of NASDAQ Oslo ASA published a letter of warning against J. Aron & Company for the placement of an unintentional sell instead of

Trends in terms of venture financings in the San Francisco Bay Area
  • Fenwick & West LLP
  • USA
  • November 24 2008

We analyzed the terms of venture financings for 101 companies headquartered in the San Francisco Bay Area that reported raising money in the third quarter of 2008