We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search

Refine your search

Content type

Tags

Firm name

Author

615 results found

Article

Bracewell LLP | USA | 10 May 2018

SEC Charges Texas-Based Municipal Advisor with Fraud and Breach of Fiduciary Duty

On May 9, 2018, the U.S. Securities and Exchange Commission ("SEC") announced it charged a registered municipal advisor (the "MA Firm") and its owner

Article

Jones Day | USA | 16 Nov 2017

Department of the Treasury Issues Report Recommending U.S. Capital Markets Regulatory Reforms

The U.S. Department of the Treasury has issued a report to the President recommending extensive regulatory and legislative reforms to the U.S. capital

Article

Proskauer Rose LLP | USA | 14 Nov 2017

SEC Chairman Jay Clayton’s Remarks on ICOs

In his remarks at a recent Practicing Law Institute program on securities regulation, Securities and Exchange Commission Chairman Jay Clayton once

Article

Manatt Phelps & Phillips LLP | USA | 7 Oct 2017

SEC Gets Tough on ICOs, Files First Fraud Case

The SEC has filed charges against multiple ICO sponsors alleging securities law violations. The Securities and Exchange Commission (the Commission)

Article

Skadden Arps Slate Meagher & Flom LLP | USA | 9 Jun 2017

Potential Impact of Financial CHOICE Act on Corporate Governance and SEC Reporting and Disclosure Requirements

On June 8, 2017, the House of Representatives passed, by a 233-186 vote (with all Democrats and one Republican voting against), the Financial CHOICE

Article

Skadden Arps Slate Meagher & Flom LLP | USA | 9 Jun 2017

Potential Impact of Financial CHOICE Act on Corporate Governance and SEC Reporting and Disclosure Requirements

On June 8, 2017, the House of Representatives passed, by a 233-186 vote (with all Democrats and one Republican voting against), the Financial CHOICE

Article

Baker Botts LLP | USA | 6 Apr 2017

SEC Shortens Standard Settlement Cycle to T2

On March 22, 2017, the Securities and Exchange Commission (the “SEC”) adopted an amendment to Rule 15c6-1 under the Securities Exchange Act of 1934

Article

Shearman & Sterling LLP | USA | 30 Nov 2016

What’s Next for the DOL’s ‘Fiduciary’ Rule?

Under consideration for over 15 years, the rule’s applicability date lands shortly after the Republicans gain control of both houses of Congress and

Article

Winston & Strawn LLP | USA | 17 Feb 2015

Financial services update February 17 2015 feature: corporate governance

Proxy access continues to dominate the corporate governance headlines. Last Tuesday, the Security and Exchange Commission's ("SEC") Director for the

Article

Winston & Strawn LLP | USA | 9 Feb 2015

Financial services update February 9 2015 feature: shadow banking

Ten days ago, while discussing a macroprudential approach to regulation, Federal Reserve Board Governor Daniel K. Tarullo suggested the Board

Previous page 1 2 3 ...