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Settlement Bonds

Mintz - Securities & Capital Markets...

Reminder – T-1 Settlement Starts Tuesday, May 28, 2024

Starting today, Tuesday, May 28, 2024, the amendments to Securities Exchange Act Rule 15c6-1 take effect, shortening the settlement cycle for most broker-dealer securities transactions to the trade date plus one business day...more

Goodwin

SEC Sues and Settles Claim Against Investment Adviser Representative For “Cherry-Picking Scheme” After Entry of Cease and Desist...

Goodwin on

​​​​​​​On September 13, 2022, the U.S. Securities and Exchange Commission (“SEC”) announced a settlement with investment advisory firm Buckman Advisory Group LLC (“Buckman Advisory”) and its CEO Harry Buckman Jr. to settle...more

Proskauer Rose LLP

Russian Sanctions: How Will They Impact Credit Default Swaps? (Update)

Proskauer Rose LLP on

Economic sanctions against Russia as a result of the invasion of Ukraine have had a broad impact on the global economy and have raised the question of whether Russia will be able to meet its obligations on foreign denominated...more

K&L Gates LLP

ICSDs' New DVP Settlement Model for Syndicated New Issues

K&L Gates LLP on

Summary - On 14 March 2022, the ICSDs will introduce a new DVP settlement model for new-issue syndicated notes. The changes will impact the roles of the ICSDs, lead manager and common depositary in the payment flows and...more

Butler Snow LLP

Failure to Update Budget Projections in Bond Offering Prompts the SEC to Charge the School District and the CFO with Misleading...

Butler Snow LLP on

On September 16, 2021, the Securities and Exchange Commission (the “SEC”) charged Sweetwater Union High School District, a San Diego County School District (the “District”) and its former Chief Financial Officer (the “CFO”),...more

Dorsey & Whitney LLP

SEC Charges School District and the District’s Former Chief Financial Officer with Violations of Securities Laws in a 2018 Bond...

Dorsey & Whitney LLP on

On September 16, 2021, the Securities and Exchange Commission (“SEC”) entered an order against a school district (Sweetwater Union High School District (the “District”) in San Diego County, California) and charged the school...more

Society of Corporate Compliance and Ethics...

Goldman Sachs settles investigation into 1MDB scandal with USD 2.8 billion payment

Report on Supply Chain Compliance 3, no. 21 (October 29, 2020) - Goldman Sachs has agreed to pay a penalty of USD 2.2 billion for its role in the robbing of 1Malaysia Development Berhad (1MDB), a Malaysian development...more

Robins Kaplan LLP

Financial Daily Dose 11.16.2019 | Top Story: Aramco Seeks Valuation of $1.7B, Well below Original Goal

Robins Kaplan LLP on

Saudi Aramco’s slow trickle of IPO-related information continued this weekend, including its goal of setting overall company market value at a staggering $1.7 trillion. The figure, though massive, is still well short of the...more

Robins Kaplan LLP

Your Daily Dose of Financial News

Robins Kaplan LLP on

Coach is looking to appeal to a younger generation (hint, big sales running nearly all the time would help), and it’s decided that buying is the way to go, announcing yesterday that it’s snapping up Kate Spade for $2.4...more

Carlton Fields

$84 Million Settlement in Northwestern Mutual Annuity Class Case

Carlton Fields on

March 26 marked the beginning of the end for the storied 14-year litigation concerning Northwestern Mutual Life Insurance Pre-MN annuities when the Eastern District of Wisconsin granted preliminary approval of a proposed...more

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