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
SEC Suspends Trading in Multiple Issuers Based on Social Media and Trading Activity
The SEC recently suspended trading in the securities of 15 companies because of what the SEC called “questionable trading” and apparent “social media attempts” to artificially inflate their stock price.
March 10, 2021
OFAC Issues FAQs, List Related to Exec Order on Chinese Military Companies
OFAC has issued several FAQs related to an executive order that prohibits U.S. investors from investing in publicly traded securities of, securities that are derivative of, or are designed to provide investment exposure to “Communist Chinese military companies."
January 05, 2021
Executive Order Prohibits U.S. Investors from Investing in Chinese Military Companies
President Trump has signed an executive order that prohibits U.S. persons from transactions in “publicly traded securities, or any securities that are derivative of, or are designed to provide investment exposure to such securities” of “Communist Chinese military companies.”
November 17, 2020
NY Federal Court Interests in Syndicated Loans are Not Securities
A group of banks in a lending syndicate succeeded in the U.S. District Court for the Southern District of New York in a dismissal of a lawsuit that was brought against them by a trustee in a bankruptcy proceeding.
June 03, 2020
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