News & Analysis as of September 20, 2024

Securities Exchange Act › Foreign Exchanges

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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 Justice Insiders Podcast: Meet the Securities and Exchange (and Human Resources) Commission

Binance Ruling Spotlights Muddled Post-Morrison Landscape

WilmerHale on 5/3/2024

The March decision in Williams v. Binance from the U.S. Court of Appeals for the Second Circuit marks the latest chapter in the judiciary's struggle to apply the U.S. Supreme Court's 2010 decision in Morrison v. National...more

2019 Bad Guys in Energy

Gray Reed on 1/16/2020

To our bad guys, 2019 was a year flush with hope and opportunity; it ended with recidivism, more misery from Venezuela, a charlatan, an Okie who pulled a multi-million dollar fast-one on Chesapeake and, as in years past, a...more

OTCQX Proposed Rule Changes

Dorsey & Whitney LLP on 11/20/2019

The OTC Markets Group published this week proposed amendments to the OTCQX Rules for U.S. Companies, U.S. Banks and International Companies. The rules will become effective on December 12, 2019; comments will be accepted...more

Southern District Of New York Holds Scienter Adequately Alleged In Putative Class Action Against Forex Services Company

A&O Shearman on 4/9/2019

On March 28, 2019, Judge Ronnie Abrams of the United States District Court for the Southern District of New York largely denied a motion to dismiss a putative class action asserting claims under the Securities Exchange Act of...more

Commodity Exchange Act: Key Decisions from 2018 and Enforcement Trends to Monitor in 2019

Jones Day on 2/5/2019

2018 was an interesting year for market participants subject to the Commodity Exchange Act ("CEA"), with federal appellate courts issuing three noteworthy decisions involving claims under the CEA. The Commodity Futures...more

Prudential Regulators Release Final Margin Rules for Swaps

Cadwalader, Wickersham & Taft LLP on 10/26/2015

On October 22, 2015, the Federal Deposit Insurance Corporation held an open meeting at which it voted to adopt: (i) final rules governing margin and capital requirements for uncleared swaps and (ii) an interim final rule to...more

Second Circuit Limits Extraterritorial Application of Federal Securities Laws

Akin Gump Strauss Hauer & Feld LLP on 6/3/2014

On May 6, 2014, the U.S. Court of Appeals for the Second Circuit issued its opinion in City of Pontiac Policemen’s and Firemen’s Retirement System v. UBS AG, No 12-4355, slip op. (2d Cir. May 6, 2014) (“City of Pontiac”), a...more

Second Circuit Rejects the “Listing Theory” Under Morrison

Dorsey & Whitney LLP on 5/12/2014

At the end of last month the Second Circuit clarified its position on the application of Morrison v. National Australia Bank Ltd., 130 S. Ct. 2869 (2010) to RICO. Now the Circuit Court had resolved an open question regarding...more

Court Finds Section 15(a) of the Exchange Act Only Applicable in Domestic Transactions

Katten Muchin Rosenman LLP on 4/17/2013

The US District Court for the Northern District of Illinois recently granted defendants’ motion to dismiss one count of a Securities and Exchange Commission complaint, finding that the registration requirement under Section...more

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Securities Exchange Act › Foreign Exchanges

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