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294 results found

Article

Proskauer Rose LLP | USA | 11 Apr 2019

Fraud Claims Against Startup Founder Involving Secondary Market Sales Demonstrate SEC Focus on Privately-Held Companies

Last week the SEC announced a settlement of fraud claims against the founder of Jumio, Inc, a private mobile payments company, for misstating the

Article

Proskauer Rose LLP | USA | 27 Mar 2019

Supreme Court Holds that Persons Who Do Not “Make” Misstatements Can Nevertheless Be Liable for Other Securities-Fraud Violations

The Supreme Court held today that persons who do not “make” material misstatements or omissions, but who disseminate them to potential investors with

Article

Proskauer Rose LLP | USA | 6 Mar 2019

Second Circuit Rejects Securities Claims Based on Generic Statements About Ethics and Compliance

The Court of Appeals for the Second Circuit yesterday affirmed the dismissal of a securities class action alleging misrepresentations arising from

Article

Proskauer Rose LLP | USA | 28 Feb 2019

A Taxonomy of the Proposed Token Taxonomy Act

On December 20, 2018, a bipartisan pair of Congressmen, Warren Davidson (R-OH) and Darren Soto (D-FL), introduced bill H.R. 7356 to enact the Token

Article

Proskauer Rose LLP | USA | 22 Mar 2018

SEC and CFTC Chairmen Testify before Senate on Cryptoasset Regulation

Last month, SEC chairman Jay Clayton and CFTC chairman Christopher Giancarlo testified before the Senate Banking Committee on their agencies’

Article

Proskauer Rose LLP | USA | 15 Mar 2018

Tenth Circuit Upholds DOL’s Authority to Impose New Conditions for PTEs and Leaves Door Open for Changes to Fiduciary Rule

The Tenth Circuit recently affirmed the Department of Labor’s authority to impose new conditions for exemption from prohibited transaction rules with

Article

Proskauer Rose LLP | USA | 10 Jan 2018

SEC Temporarily Suspends Trading of UBI Blockchain Internet, Ltd. Over Questions as to Disclosure

On Monday, the U.S. Securities and Exchange Commission (SEC) halted all trading in the stock of the Hong Kong-based firm, UBI Blockchain Internet

Article

Proskauer Rose LLP | USA, United Kingdom, Central & South America, etc. | 17 Nov 2017

2017 Proskauer Annual Review and Outlook for Hedge Funds, Private Equity Funds and Other Private Funds

The following annual review and outlook (Annual Review) is a summary of some of the significant changes and developments that occurred in the past

Article

Proskauer Rose LLP | USA | 23 Oct 2017

S.D. Fla. Refuses To Dismiss SOX and Dodd-Frank Whistleblower Claims

The Southern District of Florida recently denied a Rule 12(b)(6) motion to dismiss a former employee’s Sarbanes-Oxley and Dodd-Frank whistleblower

Article

Proskauer Rose LLP | USA | 28 Jul 2017

SEC Speaks on Initial Coin Offerings: Tokens May Be Securities

No blockchain phenomenon has garnered more attention lately than Initial Coin Offerings ("ICOs"), which have exploded in value and raised more than $1

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