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SEC Grants No-Action Letter Finding Certain Tokens Are Not Securities and Publishes Framework on Investment Contract Analysis

By Steve Quinlivan on 04/03/2019

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Continue Reading SEC Grants No-Action Letter Finding Certain Tokens Are Not Securities and Publishes Framework on Investment Contract Analysis

Posted in Blockchain Technology, Public Companies and Securities, Uncategorized

No Action Relief Prompts Clarification from SEC Chair on Mandatory Arbitration

By Steve Quinlivan on 02/12/2019

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Continue Reading No Action Relief Prompts Clarification from SEC Chair on Mandatory Arbitration

Posted in Public Companies and Securities, Uncategorized

SEC Confirms Sales of NFL Fan Memberships Fall Outside of Securities Act

By Steve Quinlivan on 06/30/2017

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Continue Reading SEC Confirms Sales of NFL Fan Memberships Fall Outside of Securities Act

Posted in Uncategorized

SEC Staff Allows Exclusion of “Fix Proxy Access” Proposal under (i)(10)

By Steve Quinlivan on 11/11/2016

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Continue Reading SEC Staff Allows Exclusion of “Fix Proxy Access” Proposal under (i)(10)

Posted in Public Companies and Securities, Uncategorized

SEC Permits Shareholder Proposal for Favoring Repurchases over Dividends to Move Forward

By Steve Quinlivan on 01/21/2016

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Continue Reading SEC Permits Shareholder Proposal for Favoring Repurchases over Dividends to Move Forward

Posted in Public Companies and Securities, Uncategorized

CFTC Says Securitization SPVs Eligible for End-User Exception

By Steve Quinlivan on 05/04/2015

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Continue Reading CFTC Says Securitization SPVs Eligible for End-User Exception

Posted in Derivatives, Uncategorized

Trinity Wall Street Responds in Appeal of Exclusion of Shareholder Proposal

By Steve Quinlivan on 02/04/2015

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Continue Reading Trinity Wall Street Responds in Appeal of Exclusion of Shareholder Proposal

Posted in Litigation, Public Companies and Securities, Uncategorized

SEC Denies No-Action Request for “Publisher Exclusion” for Recommendations of Crowdfunded Investments

By Steve Quinlivan on 02/04/2015

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Continue Reading SEC Denies No-Action Request for “Publisher Exclusion” for Recommendations of Crowdfunded Investments

Posted in Investment Advisers, Uncategorized

Marathon Oil Seeks To Head Off New York City’s Proxy Access Proposal

By Steve Quinlivan on 12/23/2014

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Continue Reading Marathon Oil Seeks To Head Off New York City’s Proxy Access Proposal

Posted in Public Companies and Securities, Uncategorized

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