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Securities General Business

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

To disclose or not to disclose? The key takeaways from the Myer shareholders’ securities class action

by Dentons on

This landmark decision is the first time that a shareholder class action for a listed company has gone to judgment in Australia, and the first time that a listed company, or its insurer, has decided not to settle with its...more

Shearman & Sterling LLP

2020 Proxy Season – Quick Reference Guide

by Shearman & Sterling LLP on

Board Oversight Disclosure. Over the past several years, companies have increasingly used their proxy statements to communicate how their boards have exercised oversight over key matters. We expect this trend to accelerate in...more

Stoel Rives LLP

In Case You Missed It - Interesting Items for Corporate Counsel - November 2019

by Stoel Rives LLP on

The SEC’s “inline XBRL” rules went into effect for large accelerated filers for filings made on or after June 15, 2019. Compliance dates are June 15, 2020 for accelerated filers and June 15, 2021 for all others. The rules...more

Perkins Coie

Blockchain Week in Review - November 2019

by Perkins Coie on

U.S. Developments - Litigation - New York Resident Indicted for Duping Investors with Fake ICO Scam - On November 6, the United States Attorney for the Southern District of New York announced a wire fraud charge...more

Shearman & Sterling LLP

EU Consultation on Changes to Position Limits for Commodity Derivatives

by Shearman & Sterling LLP on

Following its Call for Evidence issued in May this year, the European Securities and Markets Authority has launched a consultation on proposed revisions to the legal framework for position limits and position management in...more

White & Case LLP

SEC Proposes to Modernize Advertising and Solicitation Rules for Investment Advisers

by White & Case LLP on

On November 4, 2019, the Securities and Exchange Commission (“SEC”) issued a proposal to modernize the rules under the Investment Advisers Act of 1940 (“Advisers Act”) addressing SEC-registered investment adviser...more

Foley Hoag LLP - White Collar Law &...

SEC Continues to Seek Disgorgement Despite a Looming Supreme Court Case that Could Invalidate the Practice

On November 6, the U.S. Securities and Exchange Commission filed a civil complaint, captioned SEC v. Pierre, against a New York investment advisor for allegedly operating a multimillion-dollar Ponzi scheme. The SEC alleges...more

Dentons

The private fund model... Have you considered the alternatives?

by Dentons on

The traditional private equity investment model is the blind pool fund, with investors committing capital to a fund for the manager to invest and divest at its discretion, in line with the fund's investment policy. Typically,...more

Shearman & Sterling LLP

IOSCO Confirms That Stablecoins Are Potentially Within the Securities Regulatory Perimeter

by Shearman & Sterling LLP on

The International Organization of Securities Commissions has issued a statement confirming that it is possible, depending on their structure, for stablecoins to fall within the scope of securities market regulation. IOSCO has...more

King & Spalding

Advantages of Mortgage Repurchase Facilities

by King & Spalding on

The past decade has seen a marked expansion in the use of warehouse financing facilities utilizing repurchase agreements. These specific types of facilities need to be structured carefully but enjoy a number of benefits that...more

Mayer Brown Free Writings + Perspectives

SEC Chair Clayton Comments on Rulemaking Agenda

Securities and Exchange Commission Chair Jay Clayton made remarks at the University of Pennsylvania, which covered a broad range of topics. Chair Clayton noted that under his tenure the SEC’s Reg Flex agenda has become less...more

Ary Rosenbaum

Make sure your custodian knows who the trustees are

by Ary Rosenbaum on

If you’re a closely held business or not, changes do happen. Whether it’s leadership or who serves as your plan’s trustee, change will likely happen. The problem sometimes is when the plan document has been updated to reflect...more

Dechert LLP

Financial Reporting Council Publishes New Stewardship Code 2020

by Dechert LLP on

On 24 October 2019, the Financial Reporting Council (the "FRC"), the regulatory body for auditors, accountants and actuaries, published the UK Stewardship Code 2020 (the "Code"). In its press release, the FRC states that the...more

Carlton Fields

Prudent Process Defeats DOL

by Carlton Fields on

A recently released case highlights the protection afforded by a retirement plan committee that takes its role seriously. In Scalia v. WPN Corp., No. 2:14-cv-01494, 2019 WL 4748052 (W.D. Pa. Sept. 30, 2019)), a Pennsylvania...more

Thomas Fox

Daily Compliance News: November 15, 2019-the We've Become Our Parents edition

by Thomas Fox on

In today’s edition of Daily Compliance News: The role of coaches in Varsity Blues. (WSJ) New headache for compliance professions, foreign espionage. (WSJ) Boomers tell Millennials “we have the money”. Sounds like a...more

Cooley LLP

Blog: How do investors use ESG?

by Cooley LLP on

Last week, the SEC’s Investor Advisory Committee held a meeting focused in part on the use of environmental, social and governance information in the capital allocation process—how do investors use ESG information in making...more

Drinker Biddle & Reath LLP

DOJ Drops Insider Trading Charges After Guilty Plea Found Insufficient

by Drinker Biddle & Reath LLP on

Last week, the Southern District of New York dropped its prosecution of Richard Lee, a former portfolio manager at SAC Capital who, in 2013, entered a guilty plea to trading on material nonpublic information that he gained...more

Ulmer & Berne LLP

FINRA Isn’t Ready To Conduct Readiness Tests For Reg BI

by Ulmer & Berne LLP on

This post is about Reg BI, but if you really want to learn about it, as opposed simply to listening to me gripe, I urge you to register for the webcast that my partners Heidi VonderHeide and Rob Betman will present on...more

Drinker Biddle & Reath LLP

Best Interest Standard of Care for Advisors #17

by Drinker Biddle & Reath LLP on

The SEC has issued its final Regulation Best Interest (Reg BI), Form CRS Regulation, RIA Interpretation and Solely Incidental Interpretation. I am discussing the SEC’s guidance in a series of articles entitled “Best Interest...more

Perkins Coie

US Department of Labor Proposes New “Notice and Access” Electronic Delivery Safe Harbor

by Perkins Coie on

The U.S. Department of Labor (DOL) issued proposed regulations on October 23, 2019, providing for a new electronic-delivery safe harbor applicable to certain required disclosures for ERISA-governed retirement plans. Though...more

Womble Bond Dickinson

SEC Proposes Modernizing Shareholder Proposal Rule

by Womble Bond Dickinson on

On November 5, 2019, the U.S. Securities and Exchange Commission (SEC) proposed amendments to Rule 14a-8 under the Securities Exchange Act of 1934 in response to changes in the markets and recent shareholder proposal trends....more

Shearman & Sterling LLP

SEC Finalizes Capital, Margin and Segregation Requirements

by Shearman & Sterling LLP on

As a further step towards the implementation of its security-based swap regime, the Securities and Exchange Commission (SEC) has adopted a number of long-awaited capital, margin and segregation requirements for security-based...more

Allen Matkins

Is Something Missing From This Complaint Against The We Company?

by Allen Matkins on

Earlier this week, Kevin M. LaCroix wrote about a lawsuit filed recently against The We Companies, commonly referred to as WeWork. The company has attracted a lot of press attention when in September it withdrew the...more

Morgan Lewis

SEC Approves FINRA Amendments to Rules 5130 and 5131

by Morgan Lewis on

The US Securities and Exchange Commission (SEC) recently approved amendments to FINRA Rules 5130 and 5131 (the Rules). The Rules are intended to promote fairness in the allocation of new issues of equity securities by...more

Goodwin

Financial Services Weekly News: SEC Amends FINRA IPO Allocations Rules

by Goodwin on

In This Issue. The Securities and Exchange Commission (SEC) approved amendments to the Financial Industry Regulatory Authority’s (FINRA) initial public offering (IPO) allocations rules, expanding the exemptions and exclusions...more

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JD Supra Privacy Policy

Updated: May 25, 2018:

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Links to Other Websites

Our Website and Services may contain links to other websites. The operators of such other websites may collect information about you, including through cookies or other technologies. If you are using our Website or Services and click a link to another site, you will leave our Website and this Policy will not apply to your use of and activity on those other sites. We encourage you to read the legal notices posted on those sites, including their privacy policies. We are not responsible for the data collection and use practices of such other sites. This Policy applies solely to the information collected in connection with your use of our Website and Services and does not apply to any practices conducted offline or in connection with any other websites.

Information for EU and Swiss Residents

JD Supra's principal place of business is in the United States. By subscribing to our website, you expressly consent to your information being processed in the United States.

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You can make a request to exercise any of these rights by emailing us at privacy@jdsupra.com or by writing to us at:

Privacy Officer
JD Supra, LLC
10 Liberty Ship Way, Suite 300
Sausalito, California 94965

You can also manage your profile and subscriptions through our Privacy Center under the "My Account" dashboard.

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California Privacy Rights

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You can make a request for this information by emailing us at privacy@jdsupra.com or by writing to us at:

Privacy Officer
JD Supra, LLC
10 Liberty Ship Way, Suite 300
Sausalito, California 94965

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Access/Correct/Update/Delete Personal Information

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Changes in Our Privacy Policy

We reserve the right to change this Privacy Policy at any time. Please refer to the date at the top of this page to determine when this Policy was last revised. Any changes to our Privacy Policy will become effective upon posting of the revised policy on the Website. By continuing to use our Website and Services following such changes, you will be deemed to have agreed to such changes.

Contacting JD Supra

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JD Supra Cookie Guide

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How We Use Cookies and Other Tracking Technologies

We use cookies and other tracking technologies to:

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There are different types of cookies and other technologies used our Website, notably:

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JD Supra Cookies. We place our own cookies on your computer to track certain information about you while you are using our Website and Services. For example, we place a session cookie on your computer each time you visit our Website. We use these cookies to allow you to log-in to your subscriber account. In addition, through these cookies we are able to collect information about how you use the Website, including what browser you may be using, your IP address, and the URL address you came from upon visiting our Website and the URL you next visit (even if those URLs are not on our Website). We also utilize email web beacons to monitor whether our emails are being delivered and read. We also use these tools to help deliver reader analytics to our authors to give them insight into their readership and help them to improve their content, so that it is most useful for our users.

Analytics/Performance Cookies. JD Supra also uses the following analytic tools to help us analyze the performance of our Website and Services as well as how visitors use our Website and Services:

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Facebook, Twitter and other Social Network Cookies. Our content pages allow you to share content appearing on our Website and Services to your social media accounts through the "Like," "Tweet," or similar buttons displayed on such pages. To accomplish this Service, we embed code that such third party social networks provide and that we do not control. These buttons know that you are logged in to your social network account and therefore such social networks could also know that you are viewing the JD Supra Website.

Controlling and Deleting Cookies

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Updates to This Policy

We may update this cookie policy and our Privacy Policy from time-to-time, particularly as technology changes. You can always check this page for the latest version. We may also notify you of changes to our privacy policy by email.

Contacting JD Supra

If you have any questions about how we use cookies and other tracking technologies, please contact us at: privacy@jdsupra.com.

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