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Securities and Exchange Commission (SEC) Collateral

BCLP

ICAHN Settles With SEC for Failures to Disclose Key Details of Margin Loan Stock Pledges - Teaching Moment for Directors and...

BCLP on

On August, 19, 2024, the SEC announced settled charges against Carl C. Icahn and his publicly traded company, Icahn Enterprises L.P. (IEP), for failing to disclose information relating to Icahn’s pledges of IEP securities –...more

BakerHostetler

Weekly Blockchain Blog – March 2024 #4

BakerHostetler on

Hyperledger Announces Financial Group, Exchange Adds Custody Service - According to a recent press release, Hyperledger Foundation, a global ecosystem for enterprise-grade blockchain technologies, has announced that two...more

ArentFox Schiff

Avoiding Collateral Damage: Taking the (Re)Pledge [Part III]

ArentFox Schiff on

This constitutes the third in a four-part series that discusses the practice of repledging (sometimes referred to as “rehypothecation”), how standard agreements allow for repledging, the treatment of repledging under current...more

BakerHostetler

Banks and Retailers Embrace Crypto, Bitcoin Environmental Costs Debated, New NFT Initiatives Launch, Various Agencies Address...

BakerHostetler on

According to reports, a major U.S.-based global investment bank has allowed a borrower to use bitcoin as collateral for a cash loan, for the first time in the bank’s history. In other financial news, according to reports, the...more

Latham & Watkins LLP

The Limits of Applying Reves v. Ernst & Young to DeFi and the Perils of Regulating Web3 by Enforcement

Latham & Watkins LLP on

The SEC’s reliance on a nebulous US Supreme Court decision raises important questions for the future of decentralized finance. Reves v. Ernst & Young,[1] a 30-year-old US Supreme Court decision on farmers’ co-ops, is...more

Cole Schotz

How to Use Cryptocurrencies

Cole Schotz on

Uses of Cryptocurrency Overview- As previously detailed, there are a number of regulations surrounding Cryptocurrencies which vary by location (State Regulations) and by federal agency (FINCEN Regulations, IRS Regulations,...more

Akin Gump Strauss Hauer & Feld LLP

COVID-19 Stimulus: The Fed’s 2020 TALF — Comparisons to 2008

Under the recently announced Term Asset-Backed Securities Loan Facility (the “2020 TALF”), the New York Federal Reserve will commit to lend on a recourse basis to a special purpose vehicle (the “TALF SPV”), which will...more

A&O Shearman

In Significant Shift, SEC Will Consider Offers Of Settlement And Collateral Waiver Applications Together

A&O Shearman on

On July 3, 2019, Chairman Jay Clayton of the Securities and Exchange Commission (“SEC”) issued a Statement Regarding Offers of Settlement (the “Public Statement”) to announce a significant shift in the SEC’s process of...more

Dechert LLP

SEC Amends Rule 5b-3 and Fund Registration Forms to Eliminate References to NRSRO Ratings

Dechert LLP on

The U.S. Securities and Exchange Commission (SEC) recently adopted final amendments to certain rules and forms under the Investment Company Act of 1940 (1940 Act) and the Securities Act of 1933 (1933 Act) to implement a...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - May 31, 2013

In this issue: - SEC Approves FINRA Rule Change That Requires Reporting OTC Equity Transactions Within 10 Seconds - NFA Issues Notice to Members Regarding Section 16 Financial Requirements for Cleared Swaps...more

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