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One-Two-Three Punch: SEC and FINRA Announce Actions Against Unregistered Broker, Digital Asset Manager and FINRA Registered Person
  • Sidley Austin LLP
  • USA
  • September 18 2018

On September 11, the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) separately announced three “first of


One-Two-Three Punch: SEC and FINRA Announce Actions Against Unregistered Broker, Digital Asset Manager and FINRA Registered Person
  • Sidley Austin LLP
  • USA
  • September 18 2018

On September 11, the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) separately announced three “first of


Crypto Crackdown - SEC Imposes Broker-Dealer and Investment Company Registration Provisions on Token Traders and a Crypto Fund
  • Proskauer Rose LLP
  • USA
  • September 17 2018

The SEC announced a pair of settled orders on Tuesday extending additional provisions of the securities laws over ICOs and other digital assets - the


Canadian Bitcoin Fund Granted Mutual Fund Trust Status
  • Hunton Andrews Kurth LLP
  • Canada
  • September 14 2018

Recently, Canadian investment firm First Block Capital Inc. reported that FBC Bitcoin Trust, which the firm bills as the “first and only open-ended


High time to review prohibition on litigation funding
  • Arthur Cox
  • Ireland
  • August 31 2018

The Supreme Court has again urged the legislature to consider whether the outright prohibition on professional litigation funding and the assignment


Guidance for Smaller Reporting Companies
  • Mayer Brown
  • USA
  • August 13 2018

The Securities and Exchange Commission recently published guidance providing some useful clarifications related to the Commission’s recent changes to


SEC Proposes Exchange-Traded Fund Rule
  • Drinker Biddle & Reath LLP
  • USA
  • August 6 2018

The Securities and Exchange Commission (SEC) recently issued Proposed Rule 6c-11 under the Investment Company Act of 1940 (the “1940 Act”) and certain


SEC’s Proposed ETF Rule Removes Some Conditions Compared to Prior Exemptive Orders, But Adds Others
  • Thompson Hine LLP
  • USA
  • August 1 2018

All exchange-traded funds (ETFs) operate subject to a variety of conditions and required representations imposed by their respective exemptive


ESMA Releases Template to Determine Whether Investment Firms Are Systematic Internalizers
  • Katten Muchin Rosenman LLP
  • European Union
  • July 27 2018

On July 20, the European Securities and Markets Authority (ESMA) released a template (Template) to determine whether investment firms are systematic


Equity Capital Markets in Switzerland
  • Lenz & Staehelin
  • Switzerland, Global
  • July 26 2018

A structured guide to equity capital markets in Switzerland