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Securities Updates

Read need-to-know updates, commentary, and analysis on Securities issues written by leading professionals.

Industry Responds to CSA Guidance on Cryptocurrency Offerings

The rise in popularity of cryptocurrencies and the spread of cryptocurrency offerings have attracted increased attention from securities regulators in Canada and abroad. Recently, staff of the Canadian Securities...more

Blog: SEC Advisory Committee Recommends Changes To Rule 701

by Cooley LLP on

On Wednesday of last week, at the final meeting of the SEC Advisory Committee on Small and Emerging Companies (soon to morph into the Small Business Capital Formation Advisory Committee), the Committee heard a presentation on...more

Snap Judgment: Unicorns Under Pressure and Addressing Risks of Private Lawsuits

The recent IPOs of Snap, Inc. and Blue Apron indicate that while the IPO pipeline continues to flow, there may be a cautionary tale for “unicorns” – venture-backed companies with estimated valuations in excess of $1 billion....more

SuperVision - Labor & Employment Law Insights - September 2017

...This issue of SuperVision is dedicated to questions our friends and clients may have regarding insurance and benefit topics. While not a common part of the Labor & Employment field, Spilman prides itself on having...more

CMA Investigates Asset Management Sector

by Dechert LLP on

Following the UK Financial Conduct Authority’s (FCA) final report on the asset management market study in June 2017, it has decided to make a Market Investigation Reference to the Competition and Markets Authority (CMA) on...more

One From The Heart

by Ary Rosenbaum on

The Dark Knight Rises is one of my favorite movies and one great scene at the end is when Catwoman tells Batman: “You don’t owe these people anymore. You’ve given them everything” and Batman says: “Not everything. Not...more

EuVECA and EuSEF amended: another opportunity to succeed?

by DLA Piper on

On 14 September the European Parliament approved a revised version of the so-called EuVECA and EuSEF regulations. The Regulations no. 345/2013 on European venture capital funds (EuVECA) and no. 346/2013 on European social...more

Desperate for Offsetting Tax Revenue, Trump looks to Tax your 401(k) and Remove your deduction for Mortgage Interest

by Bowditch & Dewey on

Desperate for an accomplishment in this first year of Republican control of the federal government, the Trump administration is floating two ideas that seem on their faces to be non-starters. One, taxing 401(k) contributions...more

FCPA Compliance Report-Episode 349-Eisinger and Pelletier on The Chickenshit Club

by Thomas Fox on

In this episode I visit with Jesse Eisinger, author of The Chickenshit Club and Paul Pelletier, one of his key sources. ...more

IG Evaluates SEC’s Disclosure Review and Comment Process

The Office of the Inspector General has issued an evaluation of the Division of Corporation Finance’s disclosure review and comment process. The report begins with a description of the Division’s comment process. Perhaps the...more

SEC Issues New C&DIs on Regulation A

On September 14, 2017, the staff of the SEC’s Division of Corporation Finance (the “Staff”) issued three new compliance and disclosure interpretations (“C&DIs”) addressing Regulation A offerings with a concurrent Exchange Act...more

MSRB Addresses Selective Disclosure

On September 13, 2017, the Municipal Securities Rulemaking Board (the “MSRB”) published a market advisory on selective disclosure (the “Notice”). The stated purpose of the Notice is to “increase awareness” of selective...more

UK Regulator Examines Scope of Securities Laws, Warns of Initial Coin Offering Risks

by Jones Day on

The Situation: The UK Financial Conduct Authority has released a statement on initial coin offerings. It focuses the circumstances in which an ICO might fall within the scope of the FCA's current regulatory boundaries as well...more

SFC Obtains Disqualification and Court Orders Against Hanergy’s Former Chairman and Current Directors

by Latham & Watkins LLP on

The Court of First Instance’s decision has important implications for directors of listed companies when failing to act in the best interests of the company. Background - On July 15, 2015, the Securities and Futures...more

A Conversation with the Division Director

At the September 15, 2017 meeting of the American Bar Association, the Director of the Division of the SEC’s Corporation Finance provided some comments regarding the Division’s work and priorities. Mr. Hinman reiterated the...more

When Plaintiff Conduct Matters

by Reed Smith on

We previously addressed the in pari delicto doctrine, whereby a plaintiff injured in the course of his or her criminal conduct cannot recover for those injuries. We specifically examined this doctrine’s most common...more

Effect of the New Revenue Recognition Standard on M&A

FASB’s new revenue recognition standard is expected to have wide ranging effects on M&A transactions. The new revenue recognition standard under GAAP (Accounting Standards Update 2014-09; Topic 606) will be applicable to...more

Amendments to Connecticut Business Corporation Act Effective October 1, 2017

by Murtha Cullina on

Public Act No. 17-108, titled An Act Concerning Limited Liability Companies and Business Corporations (the "Act"), has amended the Connecticut Business Corporation Act ("CBCA"). Effective October 1, 2017, the Act amends the...more

OCIE Spots Issues and Alerts Registered Advisers on Most Frequent Advertising Compliance Problems

On September 14, 2017, the National Exam Program of the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a Risk Alert outlining registered investment adviser compliance issues relating to Rule...more

CEO Pay Ratio Rule Will Not Be Delayed

by Dorsey & Whitney LLP on

At last Friday’s ABA annual meeting, Bill Hinman (with the standard disclaimer that he is speaking for himself and not on behalf of the SEC) confirmed that the SEC will not be delaying implementation of the CEO pay ratio...more

Corporate and Financial Weekly Digest - Volume XII, Issue 35

SEC/CORPORATE - SEC Commissioners Announce Search for First-Ever Advocate for Small Business Capital Formation - On September 13, the Commissioners of the Securities and Exchange Commission (SEC) announced the launch of...more

Summary of key EU and U.S. regulatory developments relating to securitization transactions

by Hogan Lovells on

Numerous regulatory developments were enacted or proposed in the United States and the European Union in response to the financial crisis. Although some of the proposed changes are still in the process of being adopted or...more

Nevada Favors New York Over Delaware Precedent For SLC Review

by Allen Matkins on

Nevada law endows a board of directors “full control over the affairs of the corporation”. NRS 78.120(1). This control is subject only to such limitations as may be provided by NRS chapter 7, or the articles of...more

In Case You Missed It: Launch Links - September, 2017 #2

by WilmerHale on

Some interesting links we found across the web this week: How Pro Rata Works in Venture Capital Deals - VC’s suffer from FOMO just like the rest of us. ...more

Day 11 of One Month of Innovation in Compliance-OODA Feedback Loop

by Thomas Fox on

Alistair Croll draws on military theory to illustrate his concept of a feedback loop. It is the OODA loop, which stands for observe, orient, decide and act. This comes from military strategist John Boyd who realized that...more

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