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Dechert LLP | USA | 11 Nov 2021
FINRA Proposes Order Routing Disclosure Requirements for OTC Equity Securities
The Financial Industry Regulatory Authority (“FINRA”) on October 6, 2021, published a Regulatory Notice (“Notice”) requesting comment on a proposal…
Clyde & Co LLP | Australia, USA | 18 Feb 2020
The increasing risk of US securities class actions for Australian companies
Two recent developments in US class action law demonstrates the extraterritorial reach of US Securities law and represents an emerging risk for…
Cadwalader Wickersham & Taft LLP | USA | 7 Feb 2020
Broker-Dealer Settles SEC Charges for Improper Handling of ADRs
A broker-dealer agreed to settle SEC charges for failing to properly handle "pre-released" American Depositary Receipts ("ADRs") and for related…
Thompson Hine LLP | USA | 8 Apr 2019
New Jersey Enacts Limits on Employment and Settlement Agreements
In the wake of the #MeToo movement, the New Jersey legislature is addressing employers' abilities to limit the legal venues in which employees can…
Orrick, Herrington & Sutcliffe LLP | USA | 5 Apr 2019
German medical equipment provider settles FCPA claims for $230 million
On March 29, DOJ publicly released a non-prosecution agreement it had entered into in late February with a Germany-based provider of medical…
Orrick, Herrington & Sutcliffe LLP | USA | 29 Mar 2019
Financial services firm settles SEC’s American Depositary Receipts allegations
On March 22, the SEC announced a settlement with a financial services firm to resolve allegations that certain associated persons on its securities…
Baker & Hostetler LLP | USA | 27 Mar 2019
SEC Adopts Final Rules Modernizing Business and Financial Disclosure Requirements
On March 20, 2019, the Securities and Exchange Commission (SEC) adopted amendments to the disclosure requirements for public companies under…
Mayer Brown | USA | 21 Feb 2019
Indices: The Good, the Bad and Knowing the Difference
An issuer comes to us and asks if it can link its debt security to an index. This seemingly simple question (if the index is the S&P 500 Index, for…
Shearman & Sterling LLP | USA | 15 Jan 2019
Supreme Court Seeks Solicitor General’s Input On Granting Certiorari For Case Raising The Question Of Whether A Non-U.S. Corporate Issuer With No Involvement In Establishing Or Selling ADRs Can Be Subject To Section 10(b) As Long As Plaintiff’s Alleged Securities Transaction Was “Domestic”
On January 14, 2019, the United States Supreme Court invited the Solicitor General to file a brief expressing the views of the United States in…
Shearman & Sterling LLP | USA | 8 Jan 2019
Fourth Depositary Bank Settles SEC Allegations Of Improper Handling Of Pre-Release ADRs
On December 26, 2018, the Securities and Exchange Commission (“SEC”) announced that a fourth depositary bank (“the Bank”) had agreed to pay a civil…
