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4,332 results found

Article

Paul Hastings LLP | USA | 10 Jun 2019

PH Money Matters: This Week in Washington - June 10, 2019

The President made his first state visit to the United Kingdom last week - a whirlwind three day trip that included a state banquet at

Article

Wilmer Cutler Pickering Hale and Dorr LLP | USA | 10 Jun 2019

The Legend of the “Secumodity”: Can the Same Coin Be a Security or Commodity at Different Points in its Evolution?

Can a digital coin be a security one day under the oversight of the Securities and Exchange Commission (SEC), and a commodity the next under the

Article

Winston & Strawn LLP | USA, United Kingdom, European Union, etc. | 10 Jun 2019

Financial Services Update, Vol. 14, Issue 22

The recent case of In re Financial Oversight and Management Board for Puerto Rico v. Puerto Rico AAA Portfolio Bond Fund, 914

Article

Katten Muchin Rosenman LLP | USA | 9 Jun 2019

FCM Prevails in Federal Court to Have Customer Dispute Heard Before NFA, Not FINRA Arbitration Forum

INTL FCStone Financial Inc., a Commodity Futures Trading Commission-registered Futures Commission merchant, prevailed in a motion before a US federal

Article

Katten Muchin Rosenman LLP | USA | 9 Jun 2019

CFTC’s Inspection Unit Finds Security Weaknesses in Agency’s Surveillance System Containing Confidential Market and Privacy Information

The Commodity Futures Trading Commission's Office of the Inspector General issued a report finding security weakness in the Commission's Integrated

Article

Greenberg Traurig LLP | USA | 7 Jun 2019

FinCEN Issues Guidance on Application of Regulations to Certain Business Models Involving Convertible Virtual Currencies

On May 9, 2019, the Financial Crimes Enforcement Network of the U.S. Department of the Treasury (FinCEN) issued "interpretive guidance" addressing

Article

GrayRobinson PA | USA | 7 Jun 2019

The Golden Apple- June 7, 2019

At a long-anticipated meeting on Wednesday, the Securities and Exchange Commission voted 3-1 to approve a package of rules and guidance establishing

Article

Quarles & Brady LLP | USA | 6 Jun 2019

Tippee insider trading remains a top DOJ priority

Shortly before his recent departure, former Deputy Attorney General Rod J. Rosenstein stated that the Department of Justice was "fighting corporate

Article

Ropes & Gray LLP | USA | 5 Jun 2019

Ropes & Gray’s Investment Management Update - April-May 2019

As we prepared this Update for distribution, at its June 5 meeting, the SEC finalized or published the following items. These items will be the

Article

Cadwalader Wickersham & Taft LLP | USA | 3 Jun 2019

Security-Based Swaps Meet Rule 15a-6 - Potential New Exemptions for Security-Based Swaps and SBSDs

The Securities and Exchange Commission (the “SEC”) has proposed a number of amendments to its rules and guidance governing security-based-swaps

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