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1,395 results found


Vinson & Elkins LLP | USA | 20 Feb 2019

Meet the New Fraud, Same as the Old Fraud: 10th Circuit Holds Anti-Fraud Provisions of Securities Act Once Again Apply Abroad

On January 24, 2019, the Tenth Circuit held in SEC v. Scoville that the antifraud provisions of the federal securities laws once again have


Sheppard Mullin Richter & Hampton LLP | USA | 13 Jul 2018

New York Court of Appeals Rules that Civil Securities Fraud Claims Brought Under Martin Act are Subject to Three-Year Statute of Limitations

In People v. Credit Suisse Securities (USA) LLC, No. 40, 2018 WL 2899299 (N.Y. June 12, 2018), the Court of Appeals for the State of New York ruled


Katten Muchin Rosenman LLP | USA | 13 Apr 2018

Nasdaq Has Proposed a New Rule Change To Modify Its System of Volume-Based Credits

The Nasdaq Stock Market LLC (Nasdaq) has filed with the Securities and Exchange Commission a proposed rule change to modify the current system of


Sidley Austin LLP | USA, Global, Hong Kong | 16 Nov 2017

Derivatives Quarterly Newsletter: 3rd Quarter 2017

On July 6, 2017, the CFTC issued an order to LedgerX LLC (LedgerX), granting it registration as a SEF (SEF Order). In addition, on July 24, 2017


Maples | Ireland | 19 Jun 2017

Irish Investment Funds - Requirements to Make Accounts Publicly Available

Most of the provisions of the Companies (Accounting) Act 2017 (the "Act") came into effect on 9 June 2017. The main purpose of the Act is to transpose


Katten Muchin Rosenman LLP | USA | 12 May 2017

FINRA Proposed Rule Change to the Consolidated Audit Trail

In February, pursuant to Regulation NMS, the various national securities exchanges and the Financial Industry Regulatory Authority (each, a


McCullough Robertson | Australia | 15 Mar 2017

Proposed changes to PPS lease definition

On 1 March 2017 the Federal Government introduced the Personal Property Securities Amendment (PPS Leases) Bill 2017 into parliament, which, if passed


Dechert LLP | USA | 5 Jan 2017

Broker-Dealer Registration in the Private Equity Fund Adviser Context: How Helpful Are FINRA’s New Capital Acquisition Broker Rules?

The U.S. Securities and Exchange Commission (SEC) announced on June 1, 2016, that Blackstreet Capital Management, LLC, a private equity fund advisory


Wilmer Cutler Pickering Hale and Dorr LLP | USA, Ireland | 2 Nov 2016

Four key SEC whistleblower trends and how companies can prepare for them

In this article, the authors identify four recent trends in the SEC's Whistleblower Program: a significant uptick in whistleblower bounties; awards


Jeffer Mangels Butler & Mitchell LLP | USA | 23 Sep 2016

Using the Uniform Transfers to Minors Act for Minor Investors in EB-5 Investment Funds

The USCIS stated in a stakeholder call on July 28, 2016 that minors can be primary applicants on I-526 petitions for visas under the EB-5 Program

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