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33,930 results found

Article

Jenner & Block LLP | USA | 19 Jun 2019

What Securities Pros Need To Know About SEC Data Analytics

On Dec. 6, 2016, an engineering research scientist, allegedly used Google to research the question “how does the sec detect unusual trading

Article

K&L Gates | USA | 19 Jun 2019

Triggering Regulation Best Interest: What Are “Retail Customers” and “Recommendations”

On June 5, 2019 the Securities and Exchange Commission (“SEC” or the “Commission”) adopted Regulation Best Interest to require broker-dealers to

Article

Skadden Arps Slate Meagher & Flom LLP | USA | 19 Jun 2019

Activists Take Another $290 Million Bite Out of Vulnerable Closed-End Fund Asset Class

On June 14, 2019, Saba Capital Management, L.P. (Saba) entered into three standstill agreements with Invesco Advisers, Inc. (Invesco) and three

Article

Baker McKenzie | Global | 18 Jun 2019

International Trade Compliance Update - June 2019

The third review of the trade policies and practices of Papua New Guinea took place on 8 and 10 May 2019. The basis for the review was a report by the

Article

Kilpatrick Townsend & Stockton LLP | USA | 18 Jun 2019

Better Late Than Never - Nasdaq Proposes to Clean Up 2002 Revisions to Rule 5605

The Nasdaq Stock Market (“Nasdaq”) filed with the SEC a proposed rule change on June 12, 2019 that would clean up the wording of its 2002 revisions

Article

Shearman & Sterling LLP | USA | 18 Jun 2019

Southern District Of New York Denies Motion For Judgment On The Pleadings, Rejecting Argument That Code Of Conduct Statements Were Inactionable Puffery

On June 11, 2019, Judge Colleen McMahon of the United States District Court for the Southern District of New York denied defendants' motion for

Article

Mayer Brown | USA | 18 Jun 2019

SEC Seeks Public Comment to Improve Exempt Offering Process

On June 18, 2019, the Securities and Exchange Commission (the “SEC”) issued a Concept Release requesting public comment on ways to simplify

Article

Lander & Rogers | Australia | 18 Jun 2019

Consensus 2019: legal and commercial trends from NY blockchain week

Each year in May, the Big Apple is descended upon by bitcoin-traders, cryptographers and emerging technology lawyers for Blockchain Week NYC. The

Article

Thompson Hine LLP | USA | 18 Jun 2019

SEC Adopts Regulation Best Interest and Other Measures for Broker-Dealers and Investment Advisers

The SEC’s new Regulation Best Interest requires broker-dealers to recommend investments and take actions that are in their clients’ best

Article

Wilmer Cutler Pickering Hale and Dorr LLP | USA | 17 Jun 2019

SEC’s Final Rules and Guidance on the Standards of Conduct for Broker-Dealers and Investment Advisers

On June 5, 2019, the Securities and Exchange Commission (“SEC” or “Commission”) in a divided 3-1 vote, approved a package

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