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16 Apr 2018, 4:48 pm
Plainly crafted to contemplate not only known securities arrangements at the time – but also any prospective instruments created by those who seek the use of the money of others on the promise of profits — the definition of “security” is broad, sweeping, and designed to be flexible to capture new instruments that share the common characteristics of stocks and bonds. [read post]
16 Apr 2018, 11:54 am
The letter’s authors argue that “any new EU law should secure that this right is broad,” and “contain no additional criteria which could change via future CJEU rulings. [read post]
15 Apr 2018, 6:10 am
In the Matter of Instinet, LLC, Respondent, (FINRAAWC 2013036836015, April 12, 2018)http://www.finra.org/sites/default/files/instinet_awc_041218.pdf The Financial Industry Regulatory Authority, BOX Options Exchange LLC; the CBOE BZX Exchange, Inc.; Investors Exchange LLC; the NASDAQ Stock Market LLC; and the New York Stock Exchange; and certain of their affiliated Exchanges censured and imposed a $1.575 million fine… [read post]
12 Apr 2018, 9:47 pm
Soon things turned negative, with the fast food giant closing out the day on the New York Stock Exchange at $1.72 less per share that at the opening bell. [read post]
12 Apr 2018, 6:00 am
Deripaska’s designation extends to the companies he owns or controls, including En+, a London stock exchange-listed producer of aluminum. [read post]
5 Apr 2018, 9:30 pm
New York, along with 16 other states, the District of Columbia, and eight other entities sued the U.S. [read post]
5 Apr 2018, 9:19 am
Traditionally, economists talk about the exchange of goods and services. [read post]
4 Apr 2018, 4:21 pm
Longfin represents itself as in the business of operating computer trading platforms on the Singapore and other stock exchanges. [read post]
4 Apr 2018, 9:00 am
IPOs, the China Securities Regulatory Commission launched a pilot program that offers expedited listing on domestic stock exchanges through issuance of China Depositary Receipts (CDRs) to Chinese firms listed overseas. [read post]
SinoTech: US Proposes Tariffs On $50B of Chinese Imports After Concluding China Violates Trade Rules
4 Apr 2018, 9:00 am
IPOs, the China Securities Regulatory Commission launched a pilot program that offers expedited listing on domestic stock exchanges through issuance of China Depositary Receipts (CDRs) to Chinese firms listed overseas. [read post]
30 Mar 2018, 2:38 pm
Berger, Director of the New York Regional Office, issued a statement in regards to this investigation, saying “Brokerage firms play an important role in protecting retail investors from abusive conduct by brokers like Delorme; this case sends a clear message that we will not tolerate broker-dealers that fail to exercise appropriate supervision over employees, as alleged here. [read post]
30 Mar 2018, 2:38 pm
Berger, Director of the New York Regional Office, issued a statement in regards to this investigation, saying “Brokerage firms play an important role in protecting retail investors from abusive conduct by brokers like Delorme; this case sends a clear message that we will not tolerate broker-dealers that fail to exercise appropriate supervision over employees, as alleged here. [read post]
30 Mar 2018, 7:27 am
Five Korean citizens who conducted overnight transactions in Korea Exchange (KRX) futures contracts plausibly alleged that a New York high-frequency trading firm and its founder injured them by engaging in spoofing in violation of the Commodity Exchange Act (CEA). [read post]
30 Mar 2018, 3:10 am
Securities and Exchange Commission] “Settlement of Lawyer-Driven ‘Merger Tax’ Litigation Stumbles in New York” [Greg Herbers, WLF] “Financial Regulation: The Apotheosis of the Administrative State? [read post]
29 Mar 2018, 7:03 am
KS had the right to exchange all or part of those rights for shares of KS common stock, at a 1:1 ratio. [read post]
28 Mar 2018, 7:03 am
Then there was a discussion about that New York real estate–Pandora is certainly learning its lesson about sky high overhead and is migrating gradually to Atlanta. [read post]
26 Mar 2018, 4:24 pm
Because the law in the New York federal district courts had been clear that state-filed Section 11 suits were removable, plaintiffs avoided suing New York-based companies there. [read post]
23 Mar 2018, 6:06 am
FINRA came about on July 30th, 2007 from the consolidation of the NASD (National Association of Regulatory Authority) and the member regulation, enforcement and arbitration operations of the New York Stock Exchange (NYSE). [read post]
20 Mar 2018, 1:16 pm
On March 17, the New York Times revealed that Cambridge Analytica, the British data analysis firm with ties to Robert Mercer and Stephen K. [read post]
19 Mar 2018, 9:54 pm
Contact us today to speak to one of our highly experienced New York tax attorneys! [read post]
