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HTML"Pay To Play" Rule Proposed for Municipal Advisors
J. Andrew Gipson; Jones Walker LLP;
Legal Alert/Article
September 16, 2014, previously published on September 4, 2014
On August 18, 2014, the Municipal Securities Rulemaking Board ("MSRB") issued a request for comment on proposed rule amendments expanding application of Rule G-37, its "pay to play" rule, to municipal advisors and municipal advisor third-party solicitors. The request for comment...

 

HTMLPersons Registered as Municipal Advisers Face SEC Examination Program
Peter D. Fetzer, Jason M. Hille, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
September 2, 2014, previously published on August 29, 2014
The SEC recently announced that its Office of Compliance Inspections and Examinations (“OCIE”) will shortly commence an examination program of registered municipal advisers. The examination program will be phased in over the next few years. The focus of the examinations will be certain...

 

HTMLBoard Members Beware: The SEC is Watching
James J. Giszczak, Dominic A. Paluzzi, Adam C. Smith; McDonald Hopkins LLC;
Legal Alert/Article
August 28, 2014, previously published on August 22, 2014
Data breaches have increased dramatically. In fact, according to a 2014 Internet security threat report published by Symantec, data breaches increased in 2013 by 62 percent. Therefore, it is not surprising that the Securities and Exchange (SEC) Commissioner, Luis A. Aguilar, recently addressed what...

 

HTMLFlorida Legislature Relaxes Agency Licensing Requirements for Broker-Dealer Branch Offices Selling Insurance Products but Creates New Disclosure Requirements for Surrenders
Eric A. Arnold, Clifford E. Kirsch, Michael B. Koffler, Susan S. Krawczyk, Holly H. Smith; Sutherland Asbill & Brennan LLP;
Legal Alert/Article
August 27, 2014, previously published on August 25, 2014
Under current Florida insurance laws, branch offices of broker-dealers selling insurance products in Florida are required to either “license” or “register” as agency branches (in addition to satisfying insurance producer licensing requirements). However, Florida recently...

 

HTMLSEC Announces Municipal Advisor Examination Initiative
Matthew Bobys, Kenneth A. Gross, Ki P. Hong, Melissa L. Miles, Patricia M. Zweibel; Skadden, Arps, Slate, Meagher & Flom LLP;
Legal Alert/Article
August 26, 2014, previously published on August 20, 2014
On August 19, 2014, the Securities and Exchange Commission (SEC) announced that its Office of Compliance Inspections and Examinations (OCIE) will begin a two-year examination initiative (the initiative) through the National Exam Program (NEP) aimed at municipal advisors that are newly registered...

 

HTMLMSRB Actions Regarding Municipal Advisors: Release of Revised Draft Rule G-42 for Comment, and Submission of Proposed Rule G-44 to SEC for Approval
Matthew Bobys, Kenneth A. Gross, Ki P. Hong, Melissa L. Miles, Patricia M. Zweibel; Skadden, Arps, Slate, Meagher & Flom LLP;
Legal Alert/Article
August 8, 2014, previously published on August 1, 2014
This mailing is to inform you of the Municipal Securities Rulemaking Board (MSRB) releasing Revised Draft Rule G-42 (setting forth duties of non-solicitor municipal advisors) for public comment, and submitting Proposed Rule G-44 (setting forth the supervisory obligations of municipal advisors) to...

 

HTMLThe MCDC Initiative and Recent Modifications: Window for Issuers and Obligated Persons Now Closes on December 1, 2014, While Underwriters Window Still Set to Close on September 9, 2014
Michael G. Bailey, David Y. Bannard, Laura L. Bilas, Heidi H. Jeffery, Chauncey W. Lever; Foley & Lardner LLP;
Legal Alert/Article
August 6, 2014, previously published on August 5, 2014
As highlighted in the SEC’s 2012 Municipal Market Report, the SEC has expressed significant concern that many issuers have not been complying with their obligation to file continuing disclosure documents and that federal securities law violations involving false statements concerning such...

 

HTMLSEC Modifies Municipalities Continuing Disclosure Cooperation Initiative and Delays Deadline for Issuers and Obligors
Mark-David Adams, Walter J. St. Onge; Edwards Wildman Palmer LLP;
Legal Alert/Article
August 4, 2014, previously published on August 1, 2014
On July 31, 2014, the Securities and Exchange Commission (the “SEC”) announced modifications to its Enforcement Division’s Municipalities Continuing Disclosure Cooperation Initiative (“MCDC Initiative”). The SEC expects that its changes will provide greater opportunity...

 

HTMLSecretary Lew Calls on Financial Institutions to Strengthen Their Cybersecurity Defenses
Steven G. Brody, Jason E. Glass; Bingham McCutchen LLP;
Legal Alert/Article
July 25, 2014, previously published on July 17, 2014
On July 16, 2014, U.S. Treasury Secretary Jacob J. Lew delivered the keynote speech at the Delivering Alpha conference, a gathering of hedge fund industry participants. Secretary Lew used this event to issue strongly-worded remarks on the serious nature of cyber-incursions, in particular the...

 

HTMLThe Enforcement Begins: Highlights of the CRTC FAQ Updates on CASL
Roland Hung, Shana Wolch; McCarthy Tétrault LLP;
Legal Alert/Article
July 21, 2014, previously published on July 17, 2014
CASL came into effect on July 1, 2014, including the provisions for sending commercial electronic messages (“CEM”) (section 6) and installing computer programs (section 8). Since July 1, 2014, it is reported that the CRTC has received more than 1,000 complaints. Hence, awareness of...

 


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