Tag: Securities
SEC Declines to Weigh In On Whether Syndicated Loans are Securities
The case in question is on appeal before the Second Circuit Court of Appeals following a lower court decision that the syndicated loan at issue in that case is not a security.
July 25, 2023
Tags: Securities
SEC Suspends Trading in Multiple Issuers Based on Social Media and Trading Activity
SEC Suspends Trading in Multiple Issuers Based on Social Media and Trading Activity March 10, 2021 The SEC recently suspended trading in the securities of 15 companies because of...
March 10, 2021
Tags: Securities, Trading
OFAC Issues FAQs, List Related to Exec Order on Chinese Military Companies
OFAC Issues FAQs, List Related to Exec Order on Chinese Military Companies January 5, 2021 OFAC has issued several frequently asked questions (FAQs) related to an executive order, discussed...
January 05, 2021
Tags: ETFs, Mutual Funds, Securities, Trading, Treasury Department
NY Federal Court Interests in Syndicated Loans are Not Securities
NY Federal Court: Interests in Syndicated Loans are Not Securities June 3, 2020 A group of banks in a lending syndicate succeeded in the U.S. District Court for the...
June 03, 2020
Tags: Bankruptcy, Securities
Executive Order Prohibits U.S. Investors from Investing in Chinese Military Companies
Executive Order Prohibits U.S. Investors from Investing in Chinese Military Companies November 17, 2020 Finding that the People’s Republic of China (PRC) is “exploiting United States capital” to develop...
November 17, 2020
Tags: Securities, Trading, Treasury Department
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