SEC

Financial Statement Requirements in US Securities Offerings

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Posted by Alexander F. Cohen, Latham & Watkins LLP, on Sunday, February 5, 2017

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Blockchain 2017: Regulatory Reality from FINRA

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Straight from the horse’s mouth, US broker-dealers have just been advised about the many ways their use of blockchain could impact their compliance with rules imposed by the Financial Industry Regulatory Authority (FINRA) — including recordkeeping, clearance and settlement, anti-money laundering, trade reporting and customer statements. FINRA , the US self-regulatory agency for broker-dealers, has issued a […]

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SEC Charges of Violations of Non-GAAP Financial Measures Rules

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Posted by Cydney S. Posner, Cooley LLP, on Thursday, February 2, 2017
Editor's Note: Cydney S. Posner is special counsel at Cooley LLP. This post is based on a Cooley publication.

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Pre-Release ADRs: More SEC Fines on the Way?

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First ITG. Who is next? That is the question fund managers and other investors are asking themselves after learning that the US Securities and Exchange Commission fined broker-dealer ITG $24.4 million for violating regulations on how it used the pre-released shares of American Depositary Receipts (ADRs). The SEC says that ITG violated Section 17(a)3 of […]

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Former SEC Chair White Speaks at Securities Regulation Institute

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Posted by Mary Jo White, former Chair, U.S. Securities and Exchange Commission, on Monday, January 30, 2017

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Supreme Court to Review the Application of Statute of Limitations to SEC Disgorgement Claims

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Posted by Brad S. Karp, Paul, Weiss, Rifkind, Wharton & Garrison LLP, on Friday, January 27, 2017

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2016 Year in Review: Securities Litigation and Regulation

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Posted by Jason M. Halper, Cadwalader, Wickersham & Taft LLP, on Tuesday, January 24, 2017

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Top 10 Topics for Directors in 2017

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Posted by Kerry E. Berchem and Rick L. Burdick, Akin Gump Strauss Hauer & Feld LLP, on Sunday, January 22, 2017

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Why Do Managers Fight Shareholder Proposals? Evidence from No-Action Letter Decisions

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Posted by John G. Matsusaka, University of Southern California, on Friday, January 20, 2017

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New York Raises Bar on AML and Sanctions Programs

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Some US and foreign banks with New York offices will soon face the challenge of proving that their transaction monitoring and sanctions filtering programs for catching criminal activity really work. The New York Department of Financial Services (DFS) believes that although banks and banking-regulated institutions may already have AML programs, there are still too many illegal […]

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