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Article

Baker McKenzie | Gibraltar, Global | 10 Apr 2019

The Gibraltar Stock Exchange Set To Offer Digital Debt Securities and Funds

The Gibraltar Stock Exchange (GSX) is set to become among the world’s first stock exchanges to offer the listing services of digital debt securities

Article

Mayer Brown | USA | 26 Apr 2018

Nasdaq Proposes Trading Option for Smaller Public Companies

Nasdaq Inc. plans to propose a rule to the Securities and Exchange Commission (SEC) that, if adopted, would allow stock exchanges (such as Nasdaq Inc

Article

Dechert LLP | USA | 26 Apr 2018

SEC Proposes Transaction Fee Pilot for NMS Stocks

In the release proposing the 610T Pilot (Proposing Release), the SEC addressed a number of concerns expressed by various market participants and

Article

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

Article

K&L Gates | USA | 10 Apr 2018

SEC Delays Certain Liquidity Rule Requirements and Issues Guidance Regarding Illiquid Security Determinations

On February 22, 2018, the Securities and Exchange Commission (“SEC”) adopted an interim rule (“Interim Rule”) that revised compliance dates for

Article

Herbert Smith Freehills LLP | USA | 10 Nov 2017

Opportunistic financing and treasury strategies for miners in the ‘new normal’

While the recovery in commodity prices has alleviated much of the immediate balance sheet pressure to divest assets, mining and resources companies

Article

Fasken | Canada | 27 Jul 2017

Update on Use of the Rights Offering Exemption

On April 20, 2017, the Canadian Securities Administrators (CSA) released Staff Notice 45-323 (Notice). The Notice provided an update on the use of the

Article

Weil Gotshal & Manges LLP | USA | 26 Jul 2017

SEC Sanctions Private Fund Manager and Two Principals for Improperly Valuing Assets and Related Violations

The Securities and Exchange Commission (SEC) recently settled an enforcement action against a private fund manager and two of its principals for

Article

Hogan Lovells | United Kingdom, European Union | 21 Jul 2017

FIG Bulletin 17 July 2017 to 21 July 2017

On 17 July 2017, the Financial Conduct Authority (FCA) published a report which gives the findings from its thematic review into firms’

Article

DLA Piper | USA | 22 Jun 2017

The Financial Report, 22 June 2017, US Exchanges and Self-Regulatory Organizations

MSRB issues complaint product and problem codes guide. The Municipal Securities Rulemaking Board published guidance on the product and problem codes

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