Join Matindale-Hubbell Connected



Search Results (9694)

  
Documents on securities law
 

View Page: 1  2  3  4  5  6  7  8  9  10  Next  >>
Show: results per page
Sort by:
Sponsored Results

Adobe PDFCanadian Securities Administrators (“CSA”) Consider Amendments to Form 45-106F1 Report of Exempt Distribution (“F1”)
Philip Aubry, Michael A. Gerrior, Robert P. Kinghan, Lorraine Mastersmith, Timothy J. McCunn; Perley-Robertson, Hill & McDougall LLP/s.r.l.;
Legal Alert/Article
September 2, 2015, previously published on September 2015
Securities legislation prohibits issuers and underwriters from distributing securities without a prospectus for which a receipt has been issued. National Instrument 45- 106 contains a number of exemptions from this prospectus requirement. Issuers or underwriters relying on certain of these...

 

HTMLAccredited Investor Exemption for Certain Derivatives Extended by Quebec AMF
Candace Pallone, Sonia J. Struthers; McCarthy Tetrault LLP;
Legal Alert/Article
September 1, 2015, previously published on August 31, 2015
The Quebec financial services regulator, the Autorité des marchés financiers (“AMF”), extended the accredited investor exemption for certain derivatives until June 5, 2016. AMF general decision no. 2015-PDG-0132 (“Extension Decision”) issued on August 26, 2015,...

 

HTMLUncertainty Continues for the SEC’s Conflict Minerals Reporting Regime After D.C. Circuit Confirms First Amendment Violation
Barbara A. Jones; Greenberg Traurig, LLP;
Legal Alert/Article
September 1, 2015, previously published on August 28, 2015
On August 18, 2015, a three-judge panel of the U.S. Court of Appeals for the D.C. Circuit in a 2-1 decision upheld its April 2014 ruling in National Association of Manufacturers (NAM), et al., v. Securities and Exchange Commission, et al., that certain portions of the disclosure requirements...

 

HTMLBanks’ Class Certification Motion Trumpets Target Data Security Failings, Ignores Impact of Card Association Settlements
Mintz Levin Cohn Ferris Glovsky Popeo P.C.;
Legal Alert/Article
August 26, 2015, previously published on August 25, 2015
Card-issuing banks are forging ahead with their lawsuit against Target arising from the 2013 holiday shopping season data breach. Their July 1 motion for class certification has just been unsealed, allowing a glimpse at plaintiffs’ version of the events during November and December 2013 that...

 

HTMLNew SEC Guidance on Private Placements and General Solicitations
Mintz Levin Cohn Ferris Glovsky Popeo P.C.;
Legal Alert/Article
August 24, 2015, previously published on August 20, 2015
Following up on their discussion last week about the SEC’s CitizenVC no action letter, our colleagues Dan DeWolf and Sam Effron have written another alert about the SEC’s recently issued compliance and disclosure interpretations relating to private placements under Regulation D.

 

HTMLDC Circuit Court Reaffirms Earlier Decision Partially Invalidating Conflict Minerals Rule On First Amendment Grounds
Mintz Levin Cohn Ferris Glovsky Popeo P.C.;
Legal Alert/Article
August 24, 2015, previously published on August 21, 2015
Pursuant to Section 1502 of the Dodd-Frank Act, which added new Section 13(p)(1) to the Securities Exchange Act of 1934, as amended, the SEC promulgated Rule 13p-1 (the “Conflict Minerals Rule”), which required that issuers that manufacture (or contract to manufacture) products in which...

 

HTMLSEC Releases Third Annual Report Regarding Use of Form PF Data
Sutherland Asbill Brennan LLP;
Legal Alert/Article
August 19, 2015, previously published on August 18, 2015
On August 13, the SEC’s Division of Investment Management published its third annual report describing how the SEC uses Form PF data to protect investors and the integrity of the markets. The SEC, which adopted Form PF in 2011 as a part of its mandate under the Dodd-Frank Act, uses the form...

 

HTMLThe SEC’s Common Sense Approach to Private Placements and General Solicitation
Daniel I. DeWolf, Samuel Effron; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
Legal Alert/Article
August 19, 2015, previously published on August 19, 2015
Earlier this month the SEC issued concurrently (i) the Citizen VC No Action Letter (in response to a request for guidance authored by Mintz Levin) relating to the use of 506(b) for a private placement online and (ii) a series of CDIs (compliance and disclosure interpretations) relating to private...

 

HTMLSEC Adopts CEO Pay Ratio Rule
Michael R. Neidell, Honghui S. Yu; Olshan Frome Wolosky LLP;
Legal Alert/Article
August 18, 2015, previously published on August 2015
On August 5, 2015, the SEC adopted a final rule, commonly referred to as the “pay ratio rule,” requiring public companies to disclose the following items.

 

HTMLEnd of Amex / U.S. Costco Relationship Results in Securities Fraud Class Action
Motley Rice;
Legal Alert/Article
August 17, 2015, previously published on August 13, 2015
On July 30, 2015, a proposed class of investors brought suit against American Express, alleging that the credit card company concealed the financial impact of its co-branding relationship with the U.S. operations of Costco Wholesale Corp.

 


View Page: 1  2  3  4  5  6  7  8  9  10  Next  >>