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

Corporate and Financial Weekly Digest, Featuring Topics on Broker-Dealer, CFTC, Derivatives, Brexit and UK and EU Developments

BROKER-DEALER - SEC Proposes Transaction Fee Pilot Program On March 14, the Securities and Exchange Commission proposed new Rule 610T of Regulation National Market System (Reg NMS), which would create a Transaction Fee...more

Bridging the Week - March 2018 #2

J. Christopher Giancarlo, Chairman of the Commodity Futures Trading Commission, laid out his priorities for the remainder of 2018 in a speech before the FIA at its annual conference last week. Unrelatedly, the Securities and...more

China begins Environment Protection Tax collection: key takeaways

by DLA Piper on

China's Environment Protection Tax Law (EPT Law) is now in effect, and China will soon be collecting the Environment Protection Tax (EPT). The first collection is expected in April 2018....more

The Race For Cyber Security: An Invitation to Join With the SEC

by Dorsey & Whitney LLP on

There is no doubt that technology presents any number of new opportunities for firms and individuals and that it is transforming the market place for goods and services at an increasingly rapid rate. Computer systems, the...more

The Cash-Out Merger Solution to the Problem Minority Owner

by Farrell Fritz, P.C. on

How can majority business owners legally rid themselves of a problematic minority owner? Not by transferring the business’s assets to another entity for no consideration. ...more

In Case You Missed It: Launch Links - March, 2018 #2

by WilmerHale on

Some interesting links we found across the web this week: The Definitive Guide to Licensing: When You Get a Great Idea, What Do You Do Next? For the “ideas” people out there, licensing a product may provide a creative...more

FCPA Compliance Report-Episode 375, Steve Durham on Impact of Digital Realty Trust

by Thomas Fox on

In this episode, I welcome back Steve Durham, a partner with Labaton and Sucharow to discuss the continued reverberations from the recent Supreme Court decision narrow the definition of whistleblowers in Digital Realty Trust...more

New Guidance From SEC, New York’s DFS

Hoping to help covered entities, the Securities and Exchange Commission (SEC) released an update on cybersecurity while New York’s Department of Financial Services (DFS) published guidance for licensed virtual currency...more

This Week in FCPA-Episode 94, the March Madness edition

by Thomas Fox on

1. March Madness is here. So is corruption in NCAA basketball. 2. Former FCPA Unit Head Chuck Duross says that self-reporting is still “probably not worth it”. 3. Elizabeth Holmes and Theranos were engaged in massive,...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

Chairman Jay Clayton gave definition to his views on the manner in which the agency should allocate its limited resources. Specifically, the Chairman stated that the agency should focus on “pressing and significant issues for...more

Former Equifax Chief Information Officer Charged With Insider Trading

by Murtha Cullina on

The Equifax data breach saga continues, this time with civil and criminal charges for insider trading lodged against Jun Ying, Equifax’s former Chief Information Officer of its U.S. Information Solutions business unit. The...more

European Securities and Markets Authority Releases Double Volume Cap Data for Dark Pool Trading

by Shearman & Sterling LLP on

The European Securities and Markets Authority has published on its website trading volumes and calculations for the purposes of the Double Volume Cap under the Markets in Financial Instruments Directive and the Markets in...more

Financial Reporting for Foreign Private Issuers Before the SEC

by White and Williams LLP on

Under the current rules of the US Securities and Exchange Commission (SEC), foreign issuers are allowed to use International Financial Reporting Standards (IFRS) financial statements in their registration statements and...more

Practical Insights on Tax Reform: Impact on the Real Estate Industry

On December 22, 2017, President Trump signed into law legislation, known as the Tax Cuts and Jobs Act (“TCJA”), which is the most extensive overhaul of the United States of the Internal Revenue Code (the “Code”) in 30 years....more

Is France going to strengthen its control over foreign direct investments again?

by Bryan Cave on

The current rules in France concerning the control over foreign direct investments arose from the deregulation of international capital flows which occurred worldwide, and especially in the United States and the European...more

Blockchain and State Law: Five Legislative Developments

by Baker Donelson on

Blockchain technology is rapidly expanding into major sectors of the economy. Whether it is the meteoric rise of the digital currency bitcoin or the heightened regulation of initial coin offerings by the Securities and...more

Financial Regulatory Developments Focus - March 2018 #2

by Shearman & Sterling LLP on

In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

Financial Services Weekly News - March 2018 #2

by Goodwin on

Editor's Note - Judge Rules for Defendants in Mutual Fund Excessive Fee Lawsuit. On March 9, the U.S. District Court for the Southern District of Ohio entered summary judgment for defendants in an action brought under...more

SEC Disrupts the Disrupters – Theranos and Its Executives

by Dorsey & Whitney LLP on

Silicon Valley is reputed to be the home of the disrupter – the firm with the revolutionary new business that moves past all the existing models. To be a disrupter there has to be something new, innovative and beyond what...more

European Commission Calls for Acceleration of Completion of the Capital Markets Union

by Shearman & Sterling LLP on

The European Commission has published a Communication on completing the Capital Markets Union by 2019. The Communication confirms the Commissions commitment to completing the CMU by mid-2019 and announces the publication of...more

European Commission Proposed Legislation to Regulate Cross-Border Crowdfunding Service Providers

by Shearman & Sterling LLP on

The European Commission has published a proposed Regulation on European Crowdfunding Service Providers for Business. The proposed ECSP Regulation is part of the EU Capital Markets Union initiative and the Commission's FinTech...more

European Commission Outlines its Action Plan for FinTech

by Shearman & Sterling LLP on

The European Commission has issued a Communication on FinTech to the European Parliament, the European Council, the European Central Bank, the European Economic and Social Committee and the Committee of the Regions....more

US District Court rules virtual currencies are commodities

On March 6, 2018, the Eastern District of New York was the first federal court to rule that virtual currencies, also referred to as cryptocurrencies, are commodities under the Commodity Exchange Act (CEA) and that the...more

New Tax Law May Result in Additional Taxes for Certain US Persons who Directly or Indirectly Own Equity in a Foreign Corporation

by White & Case LLP on

The new federal tax rules (informally known as the Tax Cuts and Jobs Act ("TCJA")), signed into law on December 22, 2017, significantly expand the situations in which a foreign corporation will be treated as a "controlled...more

President Blocks Hostile Takeover of Qualcomm Upon Recommendation from CFIUS

by Bryan Cave on

On March 12, 2018, President Trump issued an Executive Order blocking the proposed $117 billion hostile takeover of Qualcomm Incorporated by Broadcom Limited following a recommendation from the Committee on Foreign Investment...more

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