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909 results found


White and Williams LLP | USA | 12 Jun 2018

The Economic Growth, Regulatory Relief and Consumer Protection Act Amends a Key Provision of Rule 701

The Economic Growth Regulatory Relief and Consumer Protection Act, which was signed into law by President Trump on May 24, 2018, directs the US


Greenberg Traurig LLP | USA | 24 May 2018

Securities and Tax Law Effects of Token Airdrops

This GT Advisory examines token airdrops in blockchain technology development and finance.The term “airdrop” means a project founder’s distribution


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


Fenwick & West LLP | USA | 7 Nov 2017

SEC's Latest Guidance Clarifies Rule 701 Disclosure Delivery Requirements

The U.S. Securities and Exchange Commission (SEC) on November 6, 2017, clarified the requirements for delivering financial and other disclosures to


Reed Smith LLP | USA, Australia, Canada | 7 Sep 2017

No Summer Vacation for Distributed Ledger Technology

As regulators across the globe turn their attention to distributed ledger technology (DLT), developments in this space have been in the


Katten Muchin Rosenman LLP | USA | 25 Jun 2017

Broker-Dealer Settles FINRA Options Reporting Disciplinary Action by Payment of $3.25 Million Fine

Wells Fargo Securities, LLC (WFSL) agreed to pay a fine of US $3.25 million to resolve administrative charges brought by the Financial Industry


Barnea | Israel | 22 Jun 2017

Binary Options in Israel - The End?

On June 2017, the government of Israel approved a draft bill to amend the Securities Law that is intended to tip the scales in the battle being waged


DLA Piper | New Zealand | 19 Jun 2017

Changes to FMC Regulations will relieve annual report distribution burden

The Minister of Commerce and Consumer Affairs has announced changes to be made to the Financial Markets Conduct Regulations 2014 later this year


Baker McKenzie | Global | 13 Jun 2017

Global Equity Services Clients & Friends - June 2017

The deadlines for the Australian Share Plan Reports are approaching: the Employee Share Scheme Statements must be distributed to employees by July 14


McCarthy Tétrault LLP | Canada | 12 Jun 2017

CSA Proposals Aim to Simplify Reports of Exempt Distribution

On June 8, 2017, the Canadian Securities Administrators (“CSA”) published for a 90-day comment period (ending on September 6, 2017), proposed

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