Stock Exchange Listing

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Stock Exchange Listing

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Potential SEC shutdown: frequently asked questions about the impact on capital markets transactions and public companies

A look at any potential impact of a US federal government shutdown on the Securities and Exchange Commission.

Law Firm: Latham & Watkins | Published: 24 January 2018 | Practice Area: Stock Exchange Listing

Law Firm: DLA Piper | Published: 22 January 2018 | Practice Area: Banking and Finance

Rating: 5 people found this useful

SEC scrutinizes pumping of blockchain-related securities

The U.S. Securities and Exchange Commission is continuing to increase scrutiny of companies that might be taking advantage of investor excitement for blockchain and cryptocurrency. This briefing investigates.

Law Firm: Reed Smith | Published: 11 January 2018 | Practice Area: Administrative and Public Law

Guide to Financial Statement Requirements in US Securities Offerings by US Issuers 2018

Latham & Watkins' guide for US issuers to the financial statements required for US securities offerings is updated and available for download now.

Law Firm: Latham & Watkins | Published: 05 January 2018 | Practice Area: Company Secretariat

Rating: 1 person found this useful

AIM Disciplinary Notice: public censure and fine for breach of the AIM Rules

On 5 October 2017, the London Stock Exchange announced the public censure and fine of Management Resource Solutions plc for breaches of the AIM Rules. This article examines the reasoning.

Law Firm: Womble Bond Dickinson | Published: 30 November 2017 | Practice Area: Company Secretariat

Initial coin offerings: regulation and the risks

On a global level, initial coin offerings have become a discordant issue for regulators, as this article explains.

Law Firm: Womble Bond Dickinson | Published: 24 November 2017 | Practice Area: Stock Exchange Listing

“Lawyer driven” books and records demand rejected by the Delaware Court of Chancery

This briefing examines the recent decision of the Delaware Court of Chancery, Wilkinson v. A. Schulman, Inc.

Law Firm: Reed Smith | Published: 23 November 2017 | Practice Area: Financial Services Regulation

Rating: 2 people found this useful

Key takeaways from the 2017 SEC Whistleblower Report

The Securities and Exchange Commission (SEC) has published its 2017 Annual Report to Congress on the Whistleblower Program. This briefing examines its findings in detail.

Law Firm: DLA Piper | Published: 22 November 2017 | Practice Area: Insurance

CFTC and SEC Chairs seek to apply existing laws and regulations to digital assets

This briefing examines whether any new laws or regulations are necessary to accommodate the new bitcoin futures products or digital assets generally.

Law Firm: Reed Smith | Published: 22 November 2017 | Practice Area: Company Secretariat

FCA confirms reform to the UK IPO process

The new rules are designed to improve the availability of information during the UK IPO process. This briefing examines the proposals.

Law Firm: Latham & Watkins | Published: 21 November 2017 | Practice Area: Company Administration

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