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Securities Exchanges

Sheppard Mullin Richter & Hampton LLP

Apple Updates Crypto Currency Aspects of App Store Review Guidelines

Apple’s App Store Review Guidelines have been updated to address various aspects of crypto currency. Some of the relevant provisions include the following. One of the provisions relates to prevents an app from including...more

Dentons

New Crypto Asset Framework in Abu Dhabi Global Market Free Zone

by Dentons on

On 25 June 2018, the Abu Dhabi Global Market (ADGM) launched a regulatory framework, known as the "Spot Crypto Asset Framework", to enable applicants to apply to operate a crypto asset business in or from the ADGM (the...more

Bennett Jones LLP

Shapeshifting Cryptoassets

by Bennett Jones LLP on

As cryptocurrencies and blockchain assets become more popular and begin to permeate into the wider financial markets, regulators have struggled to understand how they work and how to treat them under existing legal...more

Dentons

Australia IPO Series – Part 3: Where to IPO your company - comparing the key global exchanges

by Dentons on

For companies with an international profile, the ASX isn’t the only exchange on which they can list. Other exchanges may be more suitable, depending on where the company carries on business, the sector it is in and the...more

Foley & Lardner LLP

VIX Manipulation Class Actions - Part II: Venue and Consolidation

by Foley & Lardner LLP on

In our previous update, we informed you that Atlantic Trading USA LLC had filed the first class action complaint in Chicago federal court against various numerous unnamed market maker trading firms, alleging manipulation of...more

Sheppard Mullin Richter & Hampton LLP

Legal Issues With Blockchain-Based Crypto Games and Collectibles

The use of blockchain technology for crypto games and token-based digital collectibles is on the rise. One of the first crypto games of note was CryptoKitties. It may turn out that CryptoKitties becomes to crypto games what...more

Holland & Knight LLP

Understanding the Regulatory Concerns of Cryptocurrency Exchange Registration

by Holland & Knight LLP on

• Coinbase, one of the largest cryptocurrency exchanges, recently approached the U.S. Securities and Exchange Commission (SEC) about possible licensing as a broker-dealer. If Coinbase decides to register with the SEC, it will...more

Skadden, Arps, Slate, Meagher & Flom LLP

As President Xi’s Power Grows, So Does China’s Presence on World Stage

In October 2017 at the Chinese Communist Party National Congress, President Xi Jinping consolidated his hold on power and cemented himself as what many commentators are calling the most powerful Chinese leader since Mao...more

Shearman & Sterling LLP

European Commission Declares Trading Venues in Australia, Hong Kong and USA Equivalent Under the Revised Markets in Financial...

by Shearman & Sterling LLP on

The European Commission has adopted Implementing Decisions for equivalence of the legal and supervisory framework of Australia, Hong Kong and the USA for national securities exchanges and alternative trading systems in...more

Katten Muchin Rosenman LLP

Bridging the Week - December 2017

by Katten Muchin Rosenman LLP on

Three CFTC-Regulated Exchanges Self-Certify Bitcoin Derivatives Contracts: On December 1, three exchanges regulated by the Commodity Futures Trading Commission self-certified new cash-settled derivatives contracts based on...more

Skadden, Arps, Slate, Meagher & Flom LLP

CFTC Releases Statement on Three Exchanges’ Plans to List Bitcoin Contracts

On December 1, 2017, the Chicago Mercantile Exchange and CBOE Futures Exchange took the necessary regulatory steps to begin trading new bitcoin futures contracts this month. The Cantor Exchange took similar steps to begin...more

Sanford Millar

What would happen to the value of cryptocurrencies if Exchanges had to Issue a Form 1099 on an annual basis?

by Sanford Millar on

The IRS issued a John DOE Summons for records of U.S. account holders of Coinbase, Inc. (“Coinbase”) a cryptocurrency exchange based in San Francisco, California. Coinbase objected to production of the records and a Summons...more

Perkins Coie

Beijing-Based Cryptocurrency Trading Exchanges Told to Announce Trading Halt

by Perkins Coie on

Under the impact of the Chinese government’s recent formal notices of halting ICOs, Notice 99 and Joint Notice released on September 2, 2017 and September 4, 2017 respectively, Beijing authorities have taken further actions...more

BakerHostetler

SEC Statement on Treatment of Digital Assets under the Federal Securities Laws

by BakerHostetler on

The U.S. Securities and Exchange Commission has provided welcome guidance by publishing its most comprehensive statement to date on the treatment of digital assets – and the offer and sale of such assets by "virtual"...more

King & Spalding

SEC Report Determines DAO Tokens, A Digital Asset, Were Securities

by King & Spalding on

On July 25, 2017, the U.S. Securities and Exchange Commission (“SEC”) released a Report of Investigation (“Report”) warning market participants that offers and sales of digital assets (“Tokens”) by “virtual” organizations...more

White & Case LLP

Financial institutions M&A: Market infrastructure

by White & Case LLP on

Payment systems / e-money providers - Current market: - Upward - Regulatory change continues to be a key driver of M&A activity - We are seeing: - Strategic M&A deals and financial sponsor interest...more

Mintz Levin - Securities Matters

SEC’s Investor Advisory Committee Airs Concerns Over Multi-Tiered Offerings Following Snap’s IPO

Snap Inc., which debuted on the New York Stock Exchange (NYSE) on March 2nd, was the largest tech IPO since Alibaba went public in 2014. Initially priced at $17 per share, the share price jumped to more than $24 by the end of...more

Fenwick & West LLP

Federal Circuit Denies SHzoom's Bid to Make Trading Technologies Decision Precedential, But the Case is Still Good Law

by Fenwick & West LLP on

On Wednesday, the Federal Circuit, in a per curiam order, denied SHzoom's motion to make the Trading Technologies opinion precedential. The order of course gave no reasons for the decision. Nonetheless, the underlying...more

Dechert LLP

Financial Services Quarterly Report First Quarter 2017: SEC Approves New Continued Listing Standards for ETFs

by Dechert LLP on

Since their U.S. introduction in 1993, exchange-traded funds (ETFs) – which have grown to over 1,800 products with holdings of over $2.7 trillion1 – have operated under exemptive relief from many of the Securities and...more

Katten Muchin Rosenman LLP

Between Bridges: March 2017 – CME Group Settles Disciplinary Action Alleging That Automatic Liquidation of Under-Margined...

by Katten Muchin Rosenman LLP on

CME Group announced today that Saxo Bank A/S, a member firm, agreed to pay an aggregate fine of US $190,000 to the Chicago Board of Trade and the Chicago Mercantile Exchange to resolve two disciplinary actions against it for...more

Katten Muchin Rosenman LLP

Foreign Listed Stock Index Futures and Options Approval Chart November 2016

by Katten Muchin Rosenman LLP on

This Foreign Listed Stock Index Futures and Options Approvals chart is current as of November 2016....more

Morrison & Foerster LLP - JOBS Act

Venture Exchange Regulation: Listing Standards, Market Microstructure, and Investor Protection

This summer, the House Financial Services Committee passed the Main Street Growth Act, which calls for legislative changes to promote the formation of venture exchanges. The idea that securities exchanges specially designed...more

Goodwin

Financial Services Weekly News - August 2016 #3

by Goodwin on

Editor's Note - MetLife Fights On. MetLife continued to fight its designation as a nonbank systemically important financial institution (SIFI) this week as the insurer filed its reply brief in the Financial Stability...more

Orrick, Herrington & Sutcliffe LLP

SEC Amends Rules on Security-Based Swap Reporting

On July 13, 2016, the Securities Exchange Commission (“SEC”) approved certain amendments and guidance to the rules governing the reporting and public dissemination of security-based swaps (“SBS”), known as “Regulation SBSR,”...more

Dechert LLP

2016/07/12 SEC Adopts Inflation-Based Adjustment to “Qualified Client” Thresholds

by Dechert LLP on

The U.S. Securities and Exchange Commission issued a final order (Order) on June 14, 2016, to adjust for inflation the “qualified client” thresholds applicable when a registered investment adviser charges a performance fee in...more

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Updated: May 25, 2018:

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Information for EU and Swiss Residents

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

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

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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

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