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Securities Updates

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

House Committee Approves Bills that Would Repeal Conflict Minerals and Mine Safety Disclosure Requirements

by White & Case LLP on

On November 15, 2017, the House Financial Services Committee (the "Committee") approved two pieces of legislation that would repeal the conflict minerals and mine safety and health disclosure requirements promulgated under...more

Structured Thoughts: News for the financial services community, Volume 8, Issue 8

Sales of VIX-Linked ETPs – Back to Basics for FINRA - FINRA used a misselling case to remind member firms of certain fundamentals, including the importance of implementing a new product approval process, reasonable...more

Many Paths for IPO Submissions

The following chart highlights the alternatives for EGCs and non-EGCs and now the three paths for FPIs pursuing IPOs....more

SEC Comment about “Affiliate” Stockholder in Public Float Calculation

by Bass, Berry & Sims PLC on

In monitoring SEC comment letters, we came across this SEC comment letter made public this month. It serves as a reminder to registrants that, when calculating a company’s public float, there is an informal presumption that a...more

European Securities and Markets Authority Consults on Amending Systematic Internalisers' Quote Rules

by Shearman & Sterling LLP on

The European Securities and Markets Authority has published a consultation proposing amendments to the Regulatory Technical Standards on the equity transparency obligations of trading venues and investment firms (Commission...more

This Week in FCPA-Episode 77, the Home for the Holidays Edition

by Thomas Fox on

Jay and I return for a wide-ranging discussion on some of the top compliance and ethics related stories of the week, including: 1. The DOJ/SEC FCPA Guidance turned 5 years old this week. For the compliance practitioner, it...more

ESMA Highlights EU Regulatory Rules Applicable to ICOs

by Latham & Watkins LLP on

ESMA has published two statements highlighting ICO risks for investors and EU regulatory rules applicable to issuers and advisors involved with ICOs. The European Securities and Markets Authority (ESMA) published two...more

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

by WilmerHale on

Some interesting links we found across the web this week: One Angel Investor On Choosing Companies, Managing Risk And Supporting Women - Loretta McCarthy banks on women with her investment strategy....more

FINRA Rule 4210 is changing: six key questions

by DLA Piper on

Rule 4210 as amended implements requirements on both maintenance margin and mark-to-market (or MTM) losses (sometimes referred to as variation margin). The changes to FINRA Rule 4210 were divided into two phases...more

U.S. Tax Reform: The Current State of Play

Yesterday the House of Representatives voted on and passed the Tax Cuts and Jobs Act. If passed by the Senate, the Act would significantly change the current federal income tax regime in the United States. ...more

Orrick's Financial Industry Week In Review

SEC Announces the Formation and First Members of Fixed Income Market Structure Advisory Committee - On November 9, 2017, the Securities and Exchange Commission ("SEC") announced the formation and first members of its Fixed...more

Shareholders Sues Officer Of Delaware Corporation In California State Court, Should Texas Law Apply?

by Allen Matkins on

Our November 16, 2017 post discussed one aspect of the California Court of Appeal’s opinion in Central Laborers’ Pension Fund v. McAfee, Inc., 2017 Cal. App. LEXIS 1008. The case arose from Intel Corporation’s acquisition of...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

DealBook’s Common Sense column takes a look at the AT&T/Time Warner deal and the “battle lines” forming for an “epic” antitrust battle, in spite of the vertical nature of the merger (the companies don’t compete in any...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

The Commission published a report on the new focus of the Enforcement Division, listing key priorities as cases involving retail customers and cyber issues. Groups have been established within the Division to focus on each of...more

Startups Have Much To Be Thankful For – Senate Amendments to New Tax Bill Remove Deferred Compensation and Stock Options from...

As discussed in our November 14, 2017 blog post, Thanksgiving Tax Frenzy – New Tax Bill Proposes Executive Compensation Changes That Could Derail Deferred Compensation and Stock Options, the evolution of the Tax Cuts and Jobs...more

SEC Releases Proposed Amendments to Modify and Simplify Public Company Disclosure

by Goodwin on

The SEC has proposed many amendments to its disclosure requirements for public company reports and offering documents, based in large part on the SEC staff study contained in its FAST Act Report. Although largely technical,...more

EU Extends the Scope of the Framework for Collective Investment in Unlisted SMEs

by Shearman & Sterling LLP on

A Regulation amending the European Venture Capital Funds Regulation and European Social Entrepreneurship Fund Regulation has been published in the Official Journal of the European Union. This Amending Regulation makes...more

FCPA Violators Beware—SEC To Double Down On Enforcement

The SEC has signaled plans to double down on its FCPA enforcement efforts and speed up FCPA investigations. On November 9, 2017, Steven Peikin, Co-Director of the SEC’s Enforcement Division, delivered a speech at New York...more

Changes Possibly Coming to CFIUS

by Bryan Cave on

Change may be coming to the Committee on Foreign Investment in the United States (CFIUS), but any changes to the jurisdiction or process used by the multi-agency committee that reviews foreign investments in U.S. business for...more

SEC Expected to Expedite FCPA Investigations in Light of Kokesh

by McGuireWoods LLP on

On November 9, 2017, Steven R. Peikin, Co-Director of the SEC’s Division of Enforcement, delivered a keynote speech at a conference commemorating the 40th anniversary of the enactment of the Foreign Corrupt Practices Act...more

FTSE gender balance a year on – is progress being made?

by Dechert LLP on

The Hampton-Alexander Review (the “Review”), an independent, business led review supported by the UK Government, has published its ‘one year on’ supplementary report on gender balance in FTSE leadership....more

SEC Announces Enforcement Results, Sets New Priorities

On November 15, 2017, the SEC announced the results of its enforcement actions for fiscal year 2017 and stated its enforcement priorities for fiscal year 2018. During fiscal year 2017, the SEC brought 754 enforcement...more

Day 13 of One Month to 360 Degrees of Communication in Compliance- Asking Questions to Boost Your Compliance Program

by Thomas Fox on

Other than the skill of listening, asking questions is about as important to the compliance practitioner as any other that can be employed. Yet, equally critical is to ask the right question....more

SEC’s Announcement of Chief of FCPA Unit Signals Possible Anti-Bribery Enforcement Focus on Non-U.S.

by Reed Smith on

Non-U.S. companies traded on the United States stock exchanges, take notice: you may be receiving increased attention from the U.S. Securities and Exchange Commission’s (“SEC’s”) anti-bribery arm. This client alert by...more

Blog: Biotech Files Rulemaking Petition For Pilot Program Mandating Public Disclosure Of Short-Sale Positions

by Cooley LLP on

A rulemaking petition has been submitted to the SEC by a biopharmaceutical company that is “developing and marketing regenerative and therapeutic biologics.” The petition requests that the SEC promulgate rules to establish a...more

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