It’s a rare day when I can say, with unadulterated smugness, “I was right.” So today is doubly rare, as I can say it twice.
Manchester United – the world’s
Continue Reading The Biggest Team in the Universe is an Emerging Growth Company
European Union
America – Home of the European IPO
By Fox Rothschild LLP on
Big news out of Europe today (besides fears of a Greek exit from the Euro returning like a slasher flick monster that just won’t die): Michel Barnier, the EU’s top…
FINRA’S Proposed Private Stock Offering Rule
By Fox Rothschild on
FINRA proposed a rule for SEC approval that would require FINRA’s membership, involved in a private stock offering, to provide detailed information on the transaction to investors prior to the…
Continue Reading FINRA’S Proposed Private Stock Offering Rule
Attorney Beware: Corp Fin Provides Guidance on Legal Opinions
By Fox Rothschild on
The Division of Corporation Finance, recently, provided guidance on preparing legal and tax opinions for registered securities offerings.
Initially, Corp Fin stated when such opinions must be filed, and the…
Continue Reading Attorney Beware: Corp Fin Provides Guidance on Legal Opinions
New Article on Broker-Dealer Registration Enforcement
By Fox Rothschild on
We wanted to share with you a recently published article on broker-dealer registration enforcement. Enjoy.
http://apps.americanbar.org/litigation/committees/securities/email/fall2011/fall2011-tide-turning-against-sec-favor-finders.htmlContinue Reading New Article on Broker-Dealer Registration Enforcement
FINRA’S New Cross Market Surveillance System
By Fox Rothschild on
FINRA, recently, announced that it was developing a cross market surveillance system that will allow it to detect and stop improper conduct. This was reported by FINRA Chief Executive Officer…
Continue Reading FINRA’S New Cross Market Surveillance System
Recent NY Court of Appeals Case Does Not Find Partiality in Arbitration
By Fox Rothschild on
Interesting, NY Court of Appeals decision affirming an arbitration award despite a claim of partiality. Check out the great write up from CPR!!
http://www.cpradr.org/Resources/ALLCPRArticles/tabid/265/ID/733/Arbitration-NYs-Top-Court-Sets-Evident-Partiality-Standard-for-Tribunal-Disclosure-Nov-15.aspxContinue Reading Recent NY Court of Appeals Case Does Not Find Partiality in Arbitration
Swap Dealer Registration – Here It Comes
By Fox Rothschild on
The Dodd-Frank Act required that security based swap dealers or major security based swap participants to register with the SEC. These swap based entities are required to register with the…