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|CFTC Adopts Final Trade Option Rule|
Sohair A. Aguirre, Athena Yvonne Eastwood, Neal E. Kumar, Paul J. Pantano; Cadwalader, Wickersham & Taft LLP;
May 27, 2016, previously published on March 18, 2016On March 16, 2016, the Commodity Futures Trading Commission (“CFTC”) unanimously approved amendments to the rules applicable to certain physically-settled options referred to as “trade options.” This final rule substantially reduces the regulatory burdens for end-users...
|CFTC Awards More than $10 Million to Whistleblower|
Sohair A. Aguirre, Jonathan H. Flynn, Anthony M. Mansfield, Gregory George Mocek; Cadwalader, Wickersham & Taft LLP;
May 26, 2016, previously published on April 8, 2016On April 4, 2016, the Commodity Futures Trading Commission (“CFTC”) announced a whistleblower award of more than $10 million. This is only the third whistleblower award that the CFTC has approved since the inception of the CFTC whistleblower program in 2011, and by far, the largest...
|SEC Focuses on Investor Perspective and Use of Technology with New Concept Release|
William P. Mills, Gillian Emmett Moldowan, Daniel F. Zimmerman; Cadwalader, Wickersham & Taft LLP;
May 26, 2016, previously published on May 6, 2016On April 13, 2016, the U.S. Securities and Exchange Commission issued a concept release on the business and financial disclosures required by Regulation S-K. The release is part of an ongoing comprehensive evaluation by the SEC of disclosure requirements in response to statutory mandates in the...
|SEC Adopts Final Exchange Act Registration Rules; Separately Issues Proposed Rule on Incentive-Based Compensation|
J. Andrew Gipson; Jones Walker LLP;
May 26, 2016, previously published on May 12, 2016On May 3, 2016, the Securities and Exchange Commission (SEC) approved its final rules implementing Section 12(g) Exchange Act registration, termination, and suspension of reporting provisions under the JOBS Act. The rules amend Exchange Act Rules 12g-1 through 12g-4 and Rule 12h-3 to reflect...
|Compliance Departments Must Continue to Evolve as Regulators Refine Their Approach to Spoofing|
Jonathan H. Flynn, Anthony M. Mansfield, Gregory George Mocek, Paul J. Pantano; Cadwalader, Wickersham & Taft LLP;
May 26, 2016, previously published on May 5, 2016The government’s pursuit of alleged “spoofing” continues to garner headlines with the criminal authorities recently securing a conviction in the prosecution of Michael Coscia for alleged spoofing on the Chicago Mercantile Exchange (“CME”) as well as an order requiring...
|The Status Quo Must Change — Canadian Securities Administrators Embark on their Most Ambitious Registrant Regulation Consultation to Date|
Jason J. Brooks, Rebecca A. Cowdery, Jonathan L. Doll, Laura Paglia, Prema K.R. Thiele; Borden Ladner Gervais LLP;
May 20, 2016, previously published on May 5, 2016With the release of Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers and Representatives Toward Their Clients on April 28, 2016, the Canadian Securities Administrators have embarked on a consultation regarding proposed regulatory changes that would touch virtually...
|FTC Reviews Security Updates Practices of Eight Mobile Device Manufacturers|
Sutherland Asbill Brennan LLP;
May 17, 2016, previously published on May 16, 2016The Federal Trade Commission is requiring eight mobile device manufacturers to provide the FTC with information about how they determine to issue security updates to address vulnerabilities in smartphones, tablets, and other mobile devices. The FTC plans to use these filings to study policies,...
|Best Buy: First Appellate Decision Interpreting and Applying Halliburton II Rejects Class Certification Based Upon the Absence of “Front-End” Price Impact.|
Daniel J. Tyukody; Greenberg Traurig, LLP;
May 10, 2016, previously published on April 15, 2016On April 12, 2016, the Eighth Circuit Court of Appeals in IBEW Local 98 Pension Fund v. Best Buy Co., Inc., et al., CV No. 14-3178, became the first appellate court to interpret and apply the Supreme Court’s decision in Halliburton Co. v. Erica P. John Fund, Inc., 134 S. Ct. 2398...
|SEC Chair White Throws Support Behind FSOC Statement on Review of Asset Management Products and Activities|
Sutherland Asbill Brennan LLP;
May 3, 2016, previously published on April 29, 2016In a public statement earlier this month, SEC Chair Mary Jo White expressed her support for the Financial Stability Oversight Council’s (“FSOC”) Update Statement on its review of asset management products and activities for potential financial stability risks. The Update Statement...
|Ontario Securities Commission Amends Take-Over Bid Regime|
Dirk Bouwer, Michael A. Gerrior, Robert P. Kinghan, Lorraine Mastersmith, Timothy J. McCunn; Perley-Robertson, Hill & McDougall LLP/s.r.l.;
April 27, 2016, previously published on April 1, 2016The Ontario Securities Commission (OSC) has announced it intends to adopt National Instrument 62-104 Take-Over Bids and Issuer Bids (NI-62-104) on May 9, 2016. Currently, the regime governing take-over bids and early warning reporting is harmonized throughout all jurisdictions of Canada, except...