SEC/CORPORATE –
SEC Division of Corporation Finance Issues C&DIs on Application of Rule 701 –
On June 23, the Staff of the Division of Corporation Finance (Staff) of the Securities and Exchange Commission...more
7/11/2016
/ Associated Persons ,
C&DIs ,
Chapter 11 ,
Credit Default Swaps ,
Economic Sanctions ,
EU ,
Financial Industry Regulatory Authority (FINRA) ,
Golden Leash Arrangements ,
Lehman Brothers ,
Mergers ,
MiFIR ,
Popular ,
SEFs ,
Smaller Reporting Companies ,
Stock Float ,
Suspicious Activity Reports (SARs) ,
UK ,
UK Brexit
The High Court of England and Wales (Commercial Court) recently decided in favor of Lehman Brothers Finance S.A. (in liquidation) (LBF) against Sal. Oppenheim Jr. & Cie. KGAA (Oppenheim). The matter involved a dispute over...more