News & Analysis as of

Foreign Equity Securities

Australia's institutional investors now have easier access to Luxembourg undertakings for collective investment in transferable...

by DLA Piper on

In a procedure that started more than 3 years ago, the Association of the Luxembourg Fund Industry (ALFI) has succeeded in obtaining an exemption from the obligation to hold an Australian financial services (AFS) licence to...more

Global Private Equity Newsletter - Spring 2016 Edition: Acquisitions by Non-EU Buyers of German Targets May Require Special...

by Dechert LLP on

Regulatory filing and pre clearance requirements under merger control laws are well understood and, except where the merger parties have significant business overlap, rarely impede closing. However, another German regulatory...more

Second Circuit Narrows Reach of Federal Securities Laws as to Foreign Securities Transactions

by Proskauer Rose LLP on

On May 6, 2014, the U.S. Court of Appeals for the Second Circuit issued a decision clarifying the applicability of the anti-fraud provisions of the Securities Exchange Act of 1934 to transactions in foreign securities. The...more

SEC No-Action Letter on Definition of “Ready Market” for Foreign Equity Securities

On December 27, 2012, the staff of the SEC Division of Trading and Markets issued a no-action letter setting forth conditions under which broker-dealers may treat certain foreign equity securities as having a “ready market”...more

No-Action Letter Regarding Definition of "Ready Market" with Regard to Foreign Equity Securities Pursuant to SEC Rule...

by Katten Muchin Rosenman LLP on

Currently, under Securities and Exchange Commission Rule 15c3-1 (the Net Capital Rule), broker-dealers may treat equity securities of a foreign issuer that are listed on the FTSE World Index as having a ready market. A ready...more

5 Results
|
View per page
Page: of 1
Cybersecurity

"My best business intelligence,
in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up using*

Already signed up? Log in here

*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
*With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name. Or, sign up using your email address.
Feedback? Tell us what you think of the new jdsupra.com!