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Securities Regulation › Investment › Institutional Investors

Troutman Pepper Locke

FUNDamentals Market Update – What’s Happening In Today’s Market?

Troutman Pepper Locke on

“The most recent development in the registered investment funds space has been the long-awaited movement toward the SEC granting dual share class ETF exemptive relief. This will be a significant catalyst for growth in...more

Seward & Kissel LLP

Client Reminder: Required Gross Short Position and Activity Reporting by Institutional Investment Managers on Form SHO

Seward & Kissel LLP on

Seward & Kissel is reminding its clients about the recent January 2, 2025 compliance date for new Rule 13f-2 (the “New Rule”) under the Securities Exchange Act of 1934 (the “Exchange Act”), as well as related reporting on...more

Farrell Fritz, P.C.

Parting the Crypto Sea: Ripple’s XRP Ruled to be a Security When Sold to Private Investors, But Not When Sold on an Exchange

Farrell Fritz, P.C. on

Judge Analisa Torres’ greatly anticipated Order in the SEC’s lawsuit against Ripple is a split decision.  The Order basically finds that Ripple’s digital token XRP is a security when sold privately to individuals and...more

Cadwalader, Wickersham & Taft LLP

European Regulators Publish Joint Opinion on the Jurisdictional Scope of the EU Securitisation Regulation

Cadwalader, Wickersham & Taft LLP on

Background - On 26 March 2021, the European Supervisory Authorities (the “ESAs”) published a Joint Opinion (the “Opinion”) on the jurisdictional scope of the obligations of the non-EU parties to securitisations under the...more

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