JD Supra: Mergers

APRIL 17, 2024

On April 5, 2024, a jury in California federal court found a former corporate executive liable for insider trading in SEC v. Panuwat, a novel enforcement action involving a theory known as “shadow trading.” In Panuwat, the U.S. By: Morrison & Foerster LLP

Trading 187

Trading Trading Securities Corporation Securities 187

The TRADE

APRIL 3, 2024

The Bank of England (BoE) and the UK Financial Conduct Authority (FCA) are working together to operate a new Digital Securities Sandbox (DSS) – a regime that will allow firms to use developing technology in the issuance, trading and settlement of securities.

Securities 67

Securities Banking Bank Financial Market 67

Cooley M&A

MARCH 2, 2021

A SPAC is a publicly traded shell company with no underlying operating business that seeks to merge with a target operating company. In light of the trend, the US Securities Exchange Commission’s Division of Corporation Finance recently issued SPAC disclosure guidance. What is a SPAC.

Securities 40

Securities IPO Mergers and Acquisitions Shares 40

Wall Street Mojo

JANUARY 18, 2024

Some of these are banks, NBFCs, investment companies, brokerage firms, insurance companies and trust corporations. Also referred to as an aftermarket, it allows investors to trade securities freely without interference from those who issue them. Bond Governments, municipalities, or corporations can issue it.

Financial Institution 52

Financial Institution Accountant Bank Banking 52

The TRADE

OCTOBER 24, 2024

Order and/or execution management systems (OEMS) Kicking off this whistle-stop summary as the number one most impactful innovation in the industry is the order and/or execution management system (OEMS) – the beating heart of trading desks around the world. CLS Coming in at number three is the multi-currency settlement system, CLS.

Trading 118

Trading Investors IT S&P 118

The TRADE

AUGUST 21, 2023

Among the SEC’s reforms is the proposal to amend certain rules under Reg NMS to adopt variable minimum pricing increments – or tick sizes – for the quoting and trading of NMS stocks. Looking at tick size too, if you don’t get that right, you can reduce and fragment liquidity and make it more costly to trade.”

Equities 52

Equities Retail Trading Broker 52