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Results: 11-20 of 11,712

The Financial Report, Vol. 6, No. 17
  • DLA Piper LLP
  • Australia, Canada, USA
  • September 15 2017

Earlier this week, an article appearing in The Wall Street Journal stated that state legislatures are moving to bolster investor protections due to


Newly Adopted Fed Rules Will Limit Buy-Side Remedies in a Financial Institution Failure
  • Ropes & Gray LLP
  • USA
  • September 13 2017

The Board of Governors of the Federal Reserve System (the “Board”) has adopted final rules that represent a significant shift in the terms of


Blockchain and Cryptocurrency: The Emerging Regulatory Framework
  • Steptoe & Johnson LLP
  • Canada, Hong Kong, USA
  • September 13 2017

This summer, US and international regulators have brought enforcement actions, issued guidance and explanatory documents, and sharpened


U.S. Futures Exchanges Disciplinary Actions Report - August 2017
  • Bracewell LLP
  • USA
  • September 12 2017

The Bracewell U.S. Futures Exchanges Disciplinary Actions Report is a monthly report that provides summaries of certain disciplinary notices by U.S


SEC Focuses on Initial Coin Offerings: Tokens May Be Securities Under Federal Securities Laws
  • Dechert LLP
  • USA
  • September 12 2017

The U.S. Securities and Exchange Commission (SEC) has recently taken several actions to make clear that it is focused on and actively monitoring the


SEC Suspends Trading in Securities of Three Blockchain-Related Companies
  • Reed Smith LLP
  • USA
  • September 11 2017

The spot market for digital tokens, which was once a "wild west" seemingly outside the scope of most federal regulations, is being


FCM Resolves CFTC Charges of Failing to Keep and Promptly Produce Records of EFPs for $200,000 Penalty
  • Katten Muchin Rosenman LLP
  • USA
  • September 10 2017

Ikon Global Markets, Inc., settled charges brought by the Commodity Futures Trading Commission that, from approximately February 9, 2012, through the


Federal Court Rules Layering Can Be Market Manipulation
  • Katten Muchin Rosenman LLP
  • USA
  • September 10 2017

The US District Court in New York hearing the enforcement action by the Securities and Exchange Commission against Lek Securities and Samuel Lek, its


Retail Metals Dealer and Principals Sued by CFTC for Illegal Transactions and Fraud
  • Katten Muchin Rosenman LLP
  • USA
  • September 10 2017

Monex Deposit Company and two affiliated companies (collectively, "Monex"), and Louis Cabrini and Michael Cabrini, the firms' principals, were


NFA Proposes to Eliminate Form 3R and Revise Series 3 Exam Requirement for Persons Acting as Principals
  • Katten Muchin Rosenman LLP
  • USA
  • September 10 2017

The National Futures Association proposed a number of rule changes in connection with the overhaul of its online individual registration system