News & Analysis as of

Foreign Equity Securities

King & Spalding

USTR Opens Comment Process to Continue, Modify, Remove, or Expand Section 301 China Tariffs

King & Spalding on

Detailed questionnaire also seeks extensive information on economic impacts of the tariffs - On November 1, 2022, the Office of the United States Trade Representative (“USTR”) released a questionnaire (the “Questionnaire”)...more

Dechert LLP

ESMA Clarifies The Application of The Prospectus Directive and Transparency Directive in The Event of a "No-Deal" Brexit

Dechert LLP on

In a series of votes on 29 January 2019, the parliament of the United Kingdom (the “UK”) rejected proposals aimed at preventing the UK from leaving the European Union (the “EU”) on 29 March 2019 without a Withdrawal Agreement...more

Dechert LLP

Global Private Equity Newsletter - Spring 2016 Edition: Acquisitions by Non-EU Buyers of German Targets May Require Special...

Dechert LLP on

Regulatory filing and pre clearance requirements under merger control laws are well understood and, except where the merger parties have significant business overlap, rarely impede closing. However, another German regulatory...more

Proskauer Rose LLP

Second Circuit Narrows Reach of Federal Securities Laws as to Foreign Securities Transactions

Proskauer Rose LLP on

On May 6, 2014, the U.S. Court of Appeals for the Second Circuit issued a decision clarifying the applicability of the anti-fraud provisions of the Securities Exchange Act of 1934 to transactions in foreign securities. The...more

Orrick - Finance 20/20

SEC No-Action Letter on Definition of “Ready Market” for Foreign Equity Securities

Orrick - Finance 20/20 on

On December 27, 2012, the staff of the SEC Division of Trading and Markets issued a no-action letter setting forth conditions under which broker-dealers may treat certain foreign equity securities as having a “ready market”...more

Katten Muchin Rosenman LLP

No-Action Letter Regarding Definition of "Ready Market" with Regard to Foreign Equity Securities Pursuant to SEC Rule...

Currently, under Securities and Exchange Commission Rule 15c3-1 (the Net Capital Rule), broker-dealers may treat equity securities of a foreign issuer that are listed on the FTSE World Index as having a ready market. A ready...more

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