Capital Markets Archive » September, 2015

Capital Markets - September, 2015

222 articles

• Web Ad Co. Tells 2nd Circ. Omnicare Can't Save IPO Suit
• Tricon Capital Pumps Brakes On New Unit's $105M IPO Plans
• EU Rolls Out Rules Aimed At Healthy Securitization Market
• Oak Hill Trims Stake In Dave & Buster's In $234.8M Offering
• Deutsche Bank Pays CFTC $2.5M Over Swaps-Reporting
• SEC's Stein Fumes Over Slow Audit Trail Rollout
• SEC Fines High-Speed Trader $8M Over Order Rule Violations
• Alleged Facebook IPO Fraudster Hit With $3M In Penalties
• SEC Fines 22 Municipal Underwriters Over Bond Offerings
• China Imposes $4.5M In Fines In Illegal Trading Crackdown
• UK Co. Says Price-Fixing MDL Has No Viable Claim Against It
• Deals Rumor Mill: Anheuser-Busch, Tipico, Bridgepoint
• How The Indirect Holding System Affects Investor Suits
• CFTC To Pay 2nd-Ever Whistleblower Bounty
• MetLife SIFI Fight Draws Clashing Takes On Designation
• CFTC Cracks Down On Fla. Precious Metals Schemes
• Banks, Class Fight Over Use Of Trial Testimony In Libor Suit
• Puerto Rico Demands Same Bankruptcy Help That States Get
• UBS To Pay $33.5M Over Probes Of Puerto Rico Fund Sales
• China Vows To Improve Foreign Investment Environment
• Yahoo $23B Alibaba Spinoff To Go Forward Sans Tax-Free OK
• Credit Suisse To Pay $4.25M Over Faulty Reports
• Sidley-Led Cytomx Seeks $106M IPO To Fund Cancer Drugs
• China Fines Securities Violators $3.5M
• Don't Miss It: Hot IPOs & Firms We're Following
• 2nd Circ. Won't Rethink Venue For Citi Euro Note Suit
• EU Watchdog Reveals New Financial Securities Regulations
• Swiss Antitrust Watchdog Probes 7 Banks' Metals Trading
• SEC Attempts To Address Due Process Concerns
• Fed's Tarullo Backs Market-Based Rules For Asset Managers
• SEC Defends New Capital-Raising Rules To DC Circ.
• Global Regulators Reach Deal On Bail-In Bonds For Top Banks
• Kraft, Mondelez Seek Toss Of Market Manipulation Suit
• SEC Court To Get Face-Lift, But Attys Still See The Wrinkles
• CFTC Sues NY Firms Over $1.5M Forex Ponzi Scheme
• 25 Treasury Securities Suits Belong In New York, JPML Told
• 'Flash Crash' Trader's Extradition Hearing Postponed
• Facebook IPO Underwriters' Trades Not Typical, 2nd Circ. Told
• 11 Firms To Guide Offerings Totaling $1.4B To End September
• OPINION: Have Big Law Firms Lost Their Way?
• Grocery Giant Albertsons Readies $1.8B IPO
• Australian Securities Exchange To Open Hong Kong Office
• Investment Talks To Ramp Up Following US-China Summit
• High-Frequency Trading Suit Appealed To 2nd Circ.
• Two Firms Ruled Real Estate M&A Space This Summer
• CFTC's Position On Bitcoin — And What It Means
• CFTC Fines Cargill Mexican Unit Over Illegal Wash Trades
• 2nd Circ. Shields Sovereign Immunity In Argentina Ruling
• Kickstarting Information Governance: 3 Ideal Pilot Projects
• CFTC Settles With Bitcoin Swap Platform Over Wash Trades
• Energy Co. Abengoa Gains Backing For $730M Capital Raise
• DOJ Charges 7 With $20M Stock-Fraud Scheme
• Nordea Bans VW Stocks, Bonds For 6 Months Amid Scandal
• SEC Proposes To 'Modernize' In-House Court
• Pure Storage Targets $3.3B Valuation In IPO
• Bumpy Israeli Bond Deals A Warning To US Developers
• SEC Puffs Up Enforcement Stats, Study Finds
• CME Ordered To Prove Identities Of 'Spoofing' Defendants
• Axiom Plans $152M Listing To Launch Regulatory Capital Fund
• CFTC Adjusts Rules For Position Limits On Derivatives
• Sens. Press Obama On Trade Reform As China Talks Near
• Starwood Capital Gets Final OK For SEC Pay-To-Play Waiver
• Investors Seek Cert. In Suit Over $146M Violin Memory IPO
• China's Debt Markets Prepare For First Influx
• Ballard Spahr Adds Ex-Nelson Mullins EB-5 Pro In Atlanta
• Iran Sanctions Letup Could Boost Capital Markets Work
• Wall St. Giant Taps Ex-CFTC Commish For Top Policy Post
• USTR Urges China To Embrace Market-Based Reforms
• Banks, Metal Groups Look To Escape Price-Fixing Case
• SEC Floats New Liquidity Rules For Mutual Funds, ETFs
• Shanghai Stock Exchange To Market Euronext Data
• NY Regulator Issues 1st Ever License To Bitcoin Firm
• Recent Lessons In Regulation SHO Compliance
• Lowball Offers Doom Weatherford $1B Stock, Debt Sale
• The 4 Firms In-House Counsel Fear The Most
• Don't Miss It: Hot IPOs & Firms We're Following
• Morgan Lewis Nabs Ex-Freshfields Islamic Finance Head
• Freddie Mac, Principal Can't Jump Into 2nd Circ. Libor Appeal
• Trader Wants 'Afraid' Judge Out Of CFTC Trading Suit
• Weatherford Looks To Raise $1B Amid Oil Price Drop
• Cooley, Shearman Guide PE Firm In $545M Pan-Asia Fund
• 8-K Gap: Next Big Thing In Insider Trading Enforcement?
• Most Money Market Firms Not Ready For Rules, Study Finds
• Samson Gets OK To Tap Cash Collateral In $4.2B Bankruptcy
• Medical Imaging Co. Pays $1.6M Over FCPA Investigation
• Big Banks Must Talk With Credit Unions Over MBS Claims
• Del. Opinion Spells An End To Disclosure-Only Settlements
• Citibank Can't Relate MBS Suits From Shareholders, FDIC
• SEC Fielding Flood Of Whistleblower Tips, Boston Head Says
• Real Estate Rumors: Moody's, Aduro Biotech, Brookhill
• NRG Spins Off Clean Energy Biz, Nets $210M For Wind Farms
• Treasury Urges Congress To Act On Puerto Rico Restructuring
• JPMorgan Moves To Duck Silver Futures Manipulation Suits
• Goldman, Others Hit With Treasury Manipulation Class Suit
• Fed's Decision To Hold Rates Prolongs Market Uncertainty
• DLA Piper Lures Real Estate Pro Back From Hunton
• HelloFresh Valued At $2.9B, Completes Funding Round
• Forex Traders Say Citibank 'Marked Up' Transactions
• SEC's Home Court Loss Undermines DOJ's Newman Argument
• FIFA Punishes Belgian Club For Third-Party Player Ownership
• Etsy Calls Again For Transfer In IPO Suit
• Lehman Owes $1B Over Failed Intel Share Deal, Judge Says
• Material Changes Coming To NYSE's Material News Policy
• Duka Judge Eyes Stay Pending Result Of Tilton-SEC Appeal
• O'Melveny & Myers Nabs Life Sciences Co-Head
• Deals Rumor Mill: Cablevision, MBK Partners, Albertsons
• Cooley Snags Ex-WilmerHale Team In London
• Warren, Vitter Call On Congress To Restrict Bailouts
• Linklaters-Led Glencore Nets $2.5B In Share Sale To Cut Debt
• Top Dem Wants More Information On SEC Waiver Grants
• Beijing Aims For More Foreign Capital In Service Sector
• Argentina Nixes Proposed Class In Debt Row At 2nd Circ.
• China Nixes Quota On Overseas Debt Issuance
• Argentina Bondholders Ask Full 2nd Circ. To Hear Bank Row
• 4 Takeaways From The SEC's Latest In-House Loss
• Freddie Mac Says Court Should Revive Its Libor Claims
• Trader Pleads Not Guilty In News Release Hacking Plot
• State Bank Regulators Unveil Virtual Currency Rule Framework
• IRS Guidance Could Slow Plans For Tax-Free Spinoffs
• Cooley-Led Seattle Genetics Nets $552M In Follow-On
• Solving Law Firm Staffing Problems Through Innovation
• China Says List-Based Rules Will Boost Market Access
• China Says Margin Financing Crackdown Won't Hurt Markets
• Judge Notes 'Irony' Of SEC Stance On In-House Court Spat
• Help Puerto Rico Access Bankruptcy, Treasury Told
• Don't Miss It: Hot IPOs & Firms From The Week Of Sept. 7
• Barclays Blasts Cert. Bid In 'Dark Pool' Suit
• IRS Seeks Views On Legality Of Certain Tax-Free Distributions
• Canadian High-Speed Trader Pleads Guilty In Spoofing Case
• Goodwin-Led Dimension Therapeutics Preps $115M Debut
• Facebook Says Nasdaq IPO Deal Must Block Repeat Damages
• NY, 4 Banks Agree On Messaging Platform Requirements
• Banks' $1.9B CDS Deal Just Latest Antitrust Blockbuster
• Pension Fund Files Antitrust Action Against Big Banks
• Two Blank Check Cos. Price $500M and $400M IPOs
• 3 Life Sciences Cos. Set To Price IPOs After Long Market Lull
• Schwab Slams CMO Class Standing In High Court Petition
• Big Banks Hit With First Canadian Forex Class Action
• MoFo Nabs Real Estate M&A Pro From Hogan Lovells
• Barnes & Noble Says SEC Probing Worker Confidentiality Pact
• Butler Snow Guides $377M Bond Deal For Braves Stadium
• Effectively Connected Income: A Close Look At The Rules
• Big Banks Near $1.9B Deal In CDS Antitrust Case
• SEC Taps New Co-Heads For Market Abuse Force
• Alleged Facebook IPO Fraudster Gets Penalty Cut To $2.9M
• Reduced Volatility Key To Reviving Slow IPO Market
• Deals Rumor Mill: Barclays, First Data, Avon Products
• Japan Post, Two Units Aim For $11.6B In Triple Listing
• Big Banks Want 'Outlier' Forex Suit Moved To NY Court
• Etsy Says State Court Can't Hear IPO Investors' Suit
• Bitcoin Exchanges Play Key Role In Enforcement, Agents Say
• 3 Tips For Attys Handling September's CMBS Deals Rush
• China Vows To Open Up Further To Foreign Investment
• 'Stalker' Wall Street CEO Arrested Over Securities Fraud
• SEC Sends Warning To Gatekeepers With BDO Audit Case
• Don't Miss It: Hot Deals & Firms We're Watching This Week
• Puerto Rico Calls For Tax Changes, Spending Cuts In Debt Plan
• Dalata Preps $179M Stock Sale To Fund Hotel Buys
• Reed Smith Adds Three Partners In Singapore, Hong Kong
• Ex-Foley & Lardner Managing Partner Moves To Gibson Dunn
• Frontier To Sell $6.6B In Bonds To Fund Verizon Purchase
• CFTC Fines Futures Merchant Over Worker Supervision
• Morgan Lewis Adds Ex-Teva Counsel As White Collar Partner
• Greek Bank Bondholders Must Brace Themselves For Bail-In
• Facebook Parties Permitted To Intervene At Settlement Hearing
• EU Chamber Warns China To Reform Markets
• Banks Fight Freddie Mac Bid To Weigh In On Libor Appeal
• Don't Miss It: Hot IPOs & Firms From The Week Of Aug. 31
• Ex-Nomura Traders Face Criminal Charges Over RMBS Deals
• 3 Life Sciences Cos. Polish $300M In Anticipated Floats
• Concordia's $3.5B Deal Grows Rare Disease Drug Portfolio
• Chinese Bourses Mull Circuit Breaker To Stem Market Panic
• China Nixes Tax On Dividends For Long-Term Shareholders
• Takeaways From Europe's Application Of Bank Recovery Law
• The Future Of Mediation: Joint Session 2.0
• SEC Floats Exception To Swap Data Repository Indemnity Rule
• Slow IPO Market Expected To Gain Speed Through September
• Commodity Traders Apathetic On Abuse, UK Watchdog Warns
• Fintech Boom Prompts Lawyers To Add Tech Know-How
• SEC's Gallagher Set To Leave Agency By Oct.
• Artificial Joint Co. Hid Issues Before $121M IPO, Suit Claims
• Deals Rumor Mill: GE, Hapag-Lloyd, Rokin, Jupiter Hotels
• Apollo Prepares McGraw-Hill Education For $100M IPO
• SEC's Oxfam Loss May Open Floodgates To Deadline Suits
• Och-Ziff Brass Hit With Derivative Suit Over FCPA Probes
• HFF Nabs 8-Person Capital Markets Team From Cushman
• Regulatory Changes In Retail Forex Market Will Continue
• Grand Jury Indicts 'Flash Crash' Trader On Criminal Charges
• 4 Ways China's Crash May Alter US Real Estate Investment
• Deals Rumor Mill: Hewlett-Packard, Petco, Charterhouse
• IRS Solidifies Regulations On Hedge Transaction Gains
• 2nd Circ. Asked To Revive High-Speed Trading Cases
• Watchdogs Approve BofA's Models For Risk-Based Capital
• Avalanche, Investors Ask To Consolidate Stock Drop Suits
• 5 Firms Guide $145M Bond Deal For DC Mixed-Use Project
• Congressional Dems Tell DC Circ. SEC Rule Went Too Far
• China Regulators Try To Curb Futures Speculation
• ECB Willing To Expand Stimulus To Boost Growth
• 5 Takeaways From FINRA's New Research Analyst Rules
• Wayfair Facing Class Action Over Alleged IPO Omission
• China Fines 3 Trading Tech Firms Amid Market Chaos
• Stock Price Impact Since Halliburton — What The Data Say
• Calls To End Quarterly Reports Face Tough Sell
• Former Ex-Im Chief Says Shuttering Bank A 'Foolish' Move
• Sheppard Mullin Adds Ex-Jones Day Atty To Corp. Team
• DOJ Investigating Competition In Muni Bond Listing Market
• Trader Pleads Not Guilty To Press Release Hacking Plot
• CFTC Seeks Lifetime Ban, $2.5M Penalty For Ex-Sentinel CEO
• Ex-S&P Exec Argues To Keep Injunction On SEC Case
• Puerto Rico Utility Strikes Debt Deal With Bondholder Group
• Banks Post $43B Earnings Despite Market Swings, FDIC Says
• Chinese Brokerages Pledge Funds To Support Stock Market
• India Says Alternate Tax Won't Apply To Foreign Investors
• CertiSign Wins Stock Validation Over Ex-Director's Objection
• Nasdaq PHLX Rule Change On Banned Trading Acts Goes Live
• Groupon Investors Drop Claims Against IPO Underwriters
• Maserati Dealer Says He Was Pawn In Sales Scheme
• Centerbridge-Backed Dialysis Center Operator Eyes IPO
• Investors Slam Bid To Toss Cobalt Bribery Class Action
• Anti-Bribery Odd Couple Takes Its Show On The Road
• MaxPoint Sued Over Post-IPO Stock Woes
• China Urges Mergers, Share Buybacks To Boost Market