In this issue:
- SEC Sanctions 10 Companies for Disclosure Failures Surrounding Financing Deals and Stock Dilution
- Delaware Court of Chancery Rejects Entire Fairness Review in Absence of Conflicted...more
11/10/2014
/ CFTC ,
Compliance ,
Dilution ,
Disclosure Requirements ,
Enforcement ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Financing ,
Futures Commission Merchants (FCMs) ,
Mutual Funds ,
NFA ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
UK ,
Virtual Currency
In this issse:
- ISS Publishes Results of Annual Global Voting Policy Survey
- FINRA Requests Comment on a Rule Proposal to Implement the Comprehensive Automated Risk Data System
- NFA Issues Notice...more
10/6/2014
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Commodity Trading Advisors (CTAs) ,
CPOs ,
Derivatives ,
Designated Contract Markets (DCMs) ,
Enforcement ,
Enforcement Actions ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Industry Regulatory Authority (FINRA) ,
Fraud ,
Institutional Shareholder Services (ISS) ,
MiFID ,
NFA ,
Risk Assessment ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
SEFs
In this issue:
- SEC Requests Comment on FINRA Rules
- CFTC Issues Interpretation Regarding Auditor Independence Standards
- OTC Derivatives Regulators Group Issues Report to G20
- NFA...more
In this issue:
- FTC Announces New Filing Thresholds for Hart-Scott-Rodino Pre-Merger Notifications
- SEC Division of Corporation Finance Issues Three C&DIs Relating to “Unbundling Rule”
- NFA Members...more
2/4/2014
/ Bitcoin ,
Bundling Rules ,
CFTC ,
Derivative Suit ,
Federal Trade Commission (FTC) ,
FinCEN ,
Hart-Scott-Rodino Act ,
Insider Trading ,
NFA ,
Pre-Merger Filing Requirements ,
Securities and Exchange Commission (SEC) ,
Shareholder Litigation ,
Shareholders ,
The Clayton Act ,
Virtual Currency
The Commodity Futures Trading Commission has proposed rules requiring that all registered introducing brokers (IBs), commodity pool operators (CPOs) and commodity trading advisors (CTAs) become members of at least one...more