In this issue:
- Delaware Court of Chancery Rejects Controlling Stockholder Claims and Applies Business Judgment Rule to Merger Suits
- FINRA Remarks at the National Society of Compliance Professionals...more
10/27/2014
/ AIFM ,
Business Judgment Rule ,
CFTC ,
Enforcement Actions ,
ETFs ,
Financial Industry Regulatory Authority (FINRA) ,
High Frequency Trading ,
IOSCO ,
Private Funds ,
Securities and Exchange Commission (SEC) ,
Shareholder Litigation ,
Shareholders
In this issue:
- SEC Division of Corporation Finance Issues New C&DI Related to Rule 147 and Website/Social Media Use
- Director of SEC Division of Corporation Finance Gives Speech on Securities...more
10/13/2014
/ Bitcoin ,
CFTC ,
Derivatives ,
Derivatives Clearing Organizations ,
Disclosure ,
Disclosure Requirements ,
Financial Industry Regulatory Authority (FINRA) ,
Internet ,
Over The Counter Derivatives (OTC) ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Social Media ,
TRACE ,
Virtual Currency ,
Waivers ,
Websites
In this issse:
- ISS Publishes Results of Annual Global Voting Policy Survey
- FINRA Requests Comment on a Rule Proposal to Implement the Comprehensive Automated Risk Data System
- NFA Issues Notice...more
10/6/2014
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Commodity Trading Advisors (CTAs) ,
CPOs ,
Derivatives ,
Designated Contract Markets (DCMs) ,
Enforcement ,
Enforcement Actions ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Industry Regulatory Authority (FINRA) ,
Fraud ,
Institutional Shareholder Services (ISS) ,
MiFID ,
NFA ,
Risk Assessment ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
SEFs
In this issue:
- SEC Releases Strategic Plan for 2014–2018
- House Passes Bill H.R. 5405 “Promoting Job Creation and Reducing Small Business Burdens Act”
- FINRA Board Approves Several Rulemaking Items...more
9/29/2014
/ BEPS ,
Block Trades ,
CFTC ,
Credit Default Swaps ,
European Securities and Markets Authority (ESMA) ,
Financial Industry Regulatory Authority (FINRA) ,
Foreign Corrupt Practices Act (FCPA) ,
Foreign Official ,
Job Creation ,
New Legislation ,
OECD ,
Over The Counter Derivatives (OTC) ,
Ponzi Scheme ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
SEFs ,
Small Business ,
Strategic Enforcement Plan
In this issue:
- Bylaw of Delaware Corporation Providing for Exclusive Forum in North Carolina Upheld
- FINRA Board to Consider Rule Proposals Regarding Private Trading Platforms
- CBOE and C2 in...more
9/15/2014
/ AIFM ,
Alternative Investment Fund Managers Directive (AIFMD) ,
Banks ,
Bitcoin ,
CBOE ,
CFTC ,
Commodity Pool ,
Compliance ,
Consumer Financial Protection Bureau (CFPB) ,
CPO ,
Cross-Border ,
Exclusive Jurisdiction ,
False Claims Act (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Forum ,
ISDA ,
JOBS Act ,
Jurisdiction ,
Over The Counter Derivatives (OTC) ,
Regulation M ,
Regulation Z ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps ,
Swap Dealers ,
Swaps ,
UK
In this issue:
- Oregon State Court Refuses to Enforce Forum Selection Bylaw
- SEC Announces Pilot Program to Widen Tick Sizes for Smaller Companies
- NFA Issues Notice Setting Effective Date for Risk...more
9/2/2014
/ Arbitration ,
Attorney's Fees ,
CFTC ,
Compliance ,
Confidentiality Agreements ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Forum Selection ,
Mandatory Arbitration Clauses ,
NFA ,
Restrictive Covenants ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Shareholder Litigation ,
Shareholders ,
Small Business
On June 25, 2014, the Securities and Exchange Commission (SEC) re-started its rulemaking for security-based swaps (SBS) under Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act")...more