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Securities Exchange Act › Subsidiaries

The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange... more +
The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange Commission (SEC), which is the primary regulatory agency enforcing federal securities laws. less -
Dorsey & Whitney LLP

The Corporate Transparency Act: Are You Ready?

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On January 1, 2024, new direct reporting requirements to the Financial Crimes Enforcement Network (“FinCEN”), a bureau of the United States Department of the Treasury, became effective – known as the Corporate Transparency...more

A&O Shearman

Who Will Get The Last Laugh? Eastern District Of Virginia Dismisses Complaint Predicated On Statements Claimed To Be An April...

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On March 14, 2023, Judge Rossie D. Alston, Jr. of the United States District Court for the Eastern District of Virginia dismissed without prejudice a putative class action against an automobile manufacturer, its U.S.‑based...more

Willcox & Savage

Out of Scope - Exemptions from the Corporate Transparency Act

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The second installment in a multi-part series looking at the new Corporate Transparency Act discusses what is likely to be the first question that many companies have whenever a new law is passed – are we exempt? ...more

Faegre Drinker Biddle & Reath LLP

Scope of U.S. Ban on Transactions in Securities of ‘Communist Chinese Military Companies’

Faegre Drinker Biddle & Reath LLP on

On January 13, 2021, President Trump amended the November 12, 2020, Executive Order (EO) 13959 providing greater clarity to the scope of the EO’s ban on trading and investing in certain designated publicly traded securities...more

King & Spalding

REIT Advisor – March 2020

King & Spalding on

On March 2, 2020, the Securities and Exchange Commission (the “SEC”) released its final rule amending the financial disclosure requirements applicable to registered debt offerings that include credit enhancements, including...more

Sheppard Mullin Richter & Hampton LLP

Fifth Circuit Affirms Enron Broker Not Liable to Employee Stock Option Holders for False or Withheld Information

Sheppard Mullin Richter & Hampton LLP on

Ending a more than 15-year-long legal battle, the Fifth Circuit on May 24, 2019, unanimously affirmed the dismissal of a proposed class action against subsidiaries of UBS AG, alleging violations of U.S. securities laws for...more

A&O Shearman

Southern District Of New York Dismisses Putative Class Action Against Building Materials Company For Failure To Adequately Allege...

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On July 12, 2019, Judge Valerie Caproni of the United States District Court for the Southern District of New York dismissed a putative securities class action brought against the building materials company Cemex and certain...more

A&O Shearman

New Jersey District Court Dismisses Securities Class Action For Failure To Adequately Allege Scienter

A&O Shearman on

On August 1, 2018, Judge Kevin McNulty of the United States District Court for the District of New Jersey dismissed without prejudice a putative securities class action asserting claims under Section 10(b) of the Securities...more

A&O Shearman

A Second Broker-Dealer Settles SEC Allegations Over Improper Handling Of Pre-Released ADRs

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On August 18, 2017, the Securities and Exchange Commission (“SEC”) announced that broker-dealer Banca IMI Securities Corp. (“BISC”), an indirect, wholly-owned U.S. subsidiary of Italian bank Intesa Sanpaolo SpA, agreed to pay...more

Orrick, Herrington & Sutcliffe LLP

The World in US Courts - Orrick's Quarterly Review of Decisions Applying US Law to Global Business and Cross-Border Activities:...

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We are pleased to announce the Summer 2015 issue of The World in US Courts: Orrick's Quarterly Review of Decisions Applying US Law To Global Business and Cross-Border Activities. This issue discusses 13 new decisions that...more

Skadden, Arps, Slate, Meagher & Flom LLP

"Disclosure and Collateral Consequences of Enforcement Actions for Regulated Financial Services Firms"

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Financial services firms facing enforcement proceedings at the hands of the U.S. Securities and Exchange Commission (SEC) or any other financial industry regulator must consider disclosure obligations in the context of the...more

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