In This Issue:
- NYSE Amends "Late Filer Rule"
- CFTC Responds to District Court's Remand Order on Certain Cross-Border Swaps Rules
- Delaware Chancery Court Addresses Proper Purpose for Inspection...more
3/16/2015
/ CFTC ,
Cross-Border Transactions ,
Enforcement ,
Enforcement Actions ,
EU ,
European Securities and Markets Authority (ESMA) ,
Inspection Rights ,
Late Filer Rule ,
MiFID II ,
NYSE ,
Securities and Exchange Commission (SEC) ,
Swaps ,
Whistleblowers
In this issue:
- Bylaw of Delaware Corporation Providing for Exclusive Forum in North Carolina Upheld
- FINRA Board to Consider Rule Proposals Regarding Private Trading Platforms
- CBOE and C2 in...more
9/15/2014
/ AIFM ,
Alternative Investment Fund Managers Directive (AIFMD) ,
Banks ,
Bitcoin ,
CBOE ,
CFTC ,
Commodity Pool ,
Compliance ,
Consumer Financial Protection Bureau (CFPB) ,
CPO ,
Cross-Border ,
Exclusive Jurisdiction ,
False Claims Act (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Forum ,
ISDA ,
JOBS Act ,
Jurisdiction ,
Over The Counter Derivatives (OTC) ,
Regulation M ,
Regulation Z ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps ,
Swap Dealers ,
Swaps ,
UK
In this issue:
- Delaware Court of Chancery Rules That a Major Debt Holder and 48 Percent Stockholder Is a Controlling Stockholder and Owes Fiduciary Duties to Minority Stockholders
- Delaware Court of Chancery...more
6/23/2014
/ Compliance ,
Controlling Stockholders ,
Cross-Border ,
Debt ,
Debtors ,
Disclosure Requirements ,
Fiduciary Duty ,
Financial Industry Regulatory Authority (FINRA) ,
Fraud ,
Futures Commission Merchants (FCMs) ,
Investment Adviser ,
Minority Shareholders ,
Real Estate Market ,
Securities and Exchange Commission (SEC) ,
Shareholder Litigation ,
Shareholders ,
Swaps
In this issue:
- SEC Issues New FAQs on Conflict Minerals
- SEC Issues Frequently Asked Questions Regarding the Amendments to the Broker-Dealer Reporting Rule
- FINRA Requests Comment on Rules Regarding...more
In this issue:
- SEC Division of Corporation Finance Issues Guidance on Rule 506(c) Private Placements
- SEC Issues No-action Relief Regarding Registration of M&A Brokers
- CFTC Issues Guidance on New...more
2/11/2014
/ Alternative Investment Funds ,
Bank Fraud ,
Banks ,
Brokers ,
CFTC ,
Due Diligence ,
Exemptions ,
Filing Requirements ,
Fraud ,
Investment Adviser ,
Investment Funds ,
No-Action Relief ,
Private Placements ,
Registration ,
Rule 506 Offerings ,
Securities and Exchange Commission (SEC) ,
Swap Dealers ,
Swaps