Search Results (9408)
Documents on Securities
Show: results per page
|Look The Gift Horse In The Mouth (Or If It Seems Too Good To Be True, It Probably Is).|
Donna Ray Berkelhammer; Sands Anderson PC;
March 2, 2015, previously published on December 2, 2014Today is Giving Tuesday, and if your inbox is anything like mine, it is full of donation requests. I encourage you to support the causes that are near and dear to you.
|The 2015 Proxy Season: Glass Lewis and ISS Canadian Proxy Voting Guidelines Updates|
Matthew Cumming, Jonathan R. Grant, Matthew Griffin, Ian C. Michael, Rene R. Sorell; McCarthy Tétrault LLP;
February 27, 2015, previously published on December 4, 2014With the 2015 Proxy Season close at hand, Glass, Lewis & Co., LLC (Glass Lewis) and Institutional Shareholder Services Inc. (ISS) recently released their updated Canadian proxy voting guidelines. Changes and clarifications have been made to their guidelines in such areas as advance notice...
|Delaware Supreme Court Holds That Court of Chancery Can Restrict Forum Where Books and Records Can Be Used|
Mintz Levin Cohn Ferris Glovsky Popeo P.C.;
February 27, 2015, previously published on December 30, 2014 Previously we have discussed Delaware court decisions upholding forum selection bylaws requiring suits involving a corporation’s internal affairs to be filed in a specified court, such as the Delaware Court of Chancery. Last week the Delaware Supreme Court gave corporate management another...
|ISS Releases 2015 Proxy Voting Guidelines|
Megan N. Gates; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
February 27, 2015, previously published on December 1, 2014 ISS (Institutional Shareholder Services) has released its annual 2015 Proxy Voting Guidelines Updates (available here). These guidelines apply to annual meetings to be held on or after February 1, 2015. Many of our clients have investors who do not routinely follow ISS guidelines, while others do....
|Federal Court Holds That Lack of Loss Causation Is Not a Defense Under Massachusetts Blue Sky Law|
Mintz Levin Cohn Ferris Glovsky Popeo P.C.;
February 27, 2015, previously published on November 20, 2014The United States District Court for the District of Massachusetts recently held in Massachusetts Mutual Life Insurance Co. v. Residential Funding Co., LLC, that lack of loss causation is not available even as an affirmative defense under the Massachusetts Uniform Securities Act, M.G.L. c. 110A,...
|SEC Proposes Changes to Exchange Act Rules to Implement Title V and Title VI of the JOBS Act|
Megan N. Gates, Laura K. Graham; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
February 27, 2015, previously published on December 29, 2014 The SEC recently proposed rule amendments as part of its implementation of Title V and Title VI of the JOBS Act. These proposed amendments reflect the increased registration, termination of registration and suspension of reporting thresholds provided by the JOBS Act. The substance of these...
|US Second Circuit Heightens the Standard of Proof Required To Sustain Tipper/Tippee Insider Trading Convictions|
Melanie M. Burke, Joseph De Simone, William Michael, Richard M. Rosenfeld, Matthew A. Rossi; Mayer Brown LLP;
February 26, 2015, previously published on December 15, 2014On December 10, 2014, in United States v. Newman, et al., the US Court of Appeals for the Second Circuit clarified the elements required to establish insider trading in tipper/tippee cases by holding that “in order to sustain a conviction for insider trading, the government must prove beyond...
|Georgia Investment Advisor Launches Article II Constitutional Challenge to the SEC’s Use of ALJs - And Seeks Discovery|
Matthew S. Johns, Terry R. Weiss; Greenberg Traurig, LLP;
February 26, 2015, previously published on February 20, 2015Yesterday, Gray Financial Group, Inc. (“Gray”), an Atlanta based investment advisor and Greenberg Traurig client, and two of its officers filed a lawsuit against the SEC in the U.S. District Court for the Northern District of Georgia. The lawsuit seeks to declare that the SEC’s...
|SEC Proposes Disclosure Regarding Hedging Policies|
Bradley C. Brasser, Boris Dolgonos, Charles T. Haag, J. Eric Maki, W. Stuart Ogg; Jones Day;
February 26, 2015, previously published on February 2015On February 9, 2015, the SEC issued a proposing release to implement certain provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank"). This proposed rule will require companies to disclose whether employees and directors are permitted to or prohibited...
|Federal Reserve Board Issues Volcker Rule Conformance Period Extension|
Scott A. Anenberg, Michael D. Lewis, Jerome J. Roche, David R. Sahr, Donald S. Waack; Mayer Brown LLP;
February 26, 2015, previously published on December 19, 2014On December 18, 2014, the Federal Reserve Board (“Board”) announced that it is extending the Volcker Rule conformance period for certain fund investments and relationships from July 21, 2015, until July 21, 2016, and that it intends next year to grant a further extension of the...