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The Presumption of Token Innocence: Not a Security Until Proven a Security?
  • O'Melveny & Myers LLP
  • USA
  • December 11 2018

On November 27, 2018, a judge in the Southern District of California denied the Securities and Exchange Commission’s (the “SEC”) motion for a


All I Do is Win, Win, Win?: SEC Settles Charges with Floyd Mayweather and DJ Khaled
  • Venable LLP
  • USA
  • December 11 2018

In the iconic words of DJ Khaled: “Another one.” That’s right, folks. Another round of celebrities have fallen on the wrong side of the federal


SEC Adopts Safe Harbor for Broker-Dealers’ Research of Business Development Companies and Other Investment Funds
  • Ropes & Gray LLP
  • USA
  • December 11 2018

On November 30, 2018, the SEC adopted Rule 139b under the Securities Act of 1933, which establishes a non-exclusive safe harbor for independent


Bioscience Class Action Pending in State Court Stayed in Favor of Bioscience Class Action Pending in Federal Court
  • Nutter McClennen & Fish LLP
  • USA
  • December 11 2018

Judge Kaplan stayed a securities litigation filed in the BLS in favor of a securities litigation filed in federal court. The plaintiff in Lowinger v


The Rumors of the Death of Gun Jumping Have Been Greatly Exaggerated
  • Bass, Berry & Sims PLC
  • USA
  • December 10 2018

Generally speaking, the federal securities laws were drafted with the purpose of limiting the kind and amount of pre-offering publicity permitted in


MCA Participations and Securities Laws: Recognizing and Managing A Looming Threat
  • Pepper Hamilton LLP
  • USA
  • December 10 2018

Due to the high volume of relevant judicial decisions issued by New York courts over the past two years, the risk that enforceability of a merchant


Can a Plaintiff Re-Label and Re-File a Securities Fraud Claim?
  • K&L Gates
  • USA
  • December 7 2018

The federal securities laws have long prohibited two types of misconduct: making fraudulent statements and employing fraudulent schemes, both in


SEC Adopts Securities Act Rule 139b To Promote Research Reports on Investment Funds
  • Katten Muchin Rosenman LLP
  • USA
  • December 7 2018

On November 30, the Securities and Exchange Commission adopted new Rule 139b under the Securities Act of 1933. Rule 139 currently provides a safe


Digital Asset Trading Platforms - Passive Electronic Bulletin Boards as a Possible Exemption from Exchange Registration Requirement
  • Winston & Strawn LLP
  • USA
  • December 5 2018

Recently, the Securities and Exchange Commission (the “Commission”) issued an enforcement order finding that the founder of EtherDelta had operated an


SEC Offers Possible Path to Compliance for ICO Issuers
  • Paul Hastings LLP
  • USA
  • December 5 2018

On November 16, 2018, the Securities and Exchange Commission (“SEC”) announced settlements with two companies that had raised funds through initial