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Documents on securities law

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HTMLSEC Publishes Concept Release on Audit Committee Disclosures
J. Andrew Gipson; Jones Walker LLP;
Legal Alert/Article
August 3, 2015, previously published on July 23, 2015
On July 1, the United States Securities and Exchange Commission ("SEC") published a Concept Release regarding potential revisions to audit committee disclosures required to be included by listed companies in annual proxy or information statements.


Adobe PDFCompliance Date for Ban on Third-Party Solicitation Extended
Morrison Cohen LLP;
Legal Alert/Article
July 31, 2015, previously published on July 15, 2015
The SEC’s Division of Investment Management has again delayed implementing a portion of the “pay to play” rule under the Investment Advisers Act of 1940 applicable to registered investment advisers and exempt reporting advisers. The delay is now open-ended.


HTMLLittle Known Florida Statute Affects Securities Issuers That Do Business in Cuba
Carl A. Fornaris, Yosbel A. Ibarra; Greenberg Traurig, LLP;
Legal Alert/Article
July 29, 2015, previously published on July 21, 2015
While diplomatic relations between the United States and Cuba continue to normalize, issuers of securities sold in Florida should be mindful of a little-noticed but long-existing Florida statute that requires them to disclose any business activities in Cuba. Passed in 1992, Section 517.075 of the...


HTMLDisclosure Watch: CSA Increases Number of Continuous Disclosure Reviews
David P. Badour, Leila Rafi, Sonia J. Struthers; McCarthy Tetrault LLP;
Legal Alert/Article
July 29, 2015, previously published on July 21, 2015
On July 16, 2015, the Canadian Securities Administrators (CSA) published the summary of the results of their annual continuous disclosure (CD) review program of reporting issuers (other than investment funds) for issuers with a fiscal year end of March 31, 2015 in CSA Staff Notice 51-344 -...


Adobe PDFChanges to the Venture Issuer Rules
Rebecca Kabaca; Aird Berlis LLP;
Legal Alert/Article
July 24, 2015, previously published on July 16, 2015
The Canadian securities commissions have implemented a number of changes to the continuous disclosure and governance obligations of venture issuers which came into force on June 30, 2015.1 Venture issuers in Canada are typically junior public companies with shares listed on the TSX Venture Exchange...


HTMLAdviser Liable for Causing Prime Brokers’ Books and Records Violations
Sutherland Asbill Brennan LLP;
Legal Alert/Article
July 21, 2015, previously published on July 20, 2015
In an interesting case, the SEC instituted cease-and-desist proceedings, pursuant to Section 21C of the Exchange Act, against a large private fund manager for providing inaccurate trade data to four of its prime brokers. The SEC asserted that the investment adviser caused the prime brokers to make...


HTMLPrivacy Monday - July 13, 2015
Mintz Levin Cohn Ferris Glovsky Popeo P.C.;
Legal Alert/Article
July 15, 2015, previously published on July 13, 2015
Welcome to the dog days of summer 2015. Three privacy & security bits and bytes to start your week (if you are reading this on vacation ... good for you!)


HTMLSEC Issues Investor Alerts
Rebecca H. Forest; Lowndes, Drosdick, Doster, Kantor & Reed Professional Association;
Legal Alert/Article
July 15, 2015, previously published on July 10, 2015
Have you, a family member, a client or a friend ever been approached to make an investment where you were not sure if the person soliciting you to invest was trustworthy? If so, you are not alone. In fact, in response to the increase in fraudulent investment schemes, the SEC has issued two investor...


HTMLRegulation A+ Takes Effect
Robert T. Clarkson, Omar Samji; Jones Day;
Legal Alert/Article
July 14, 2015, previously published on July 2015
As part of the effort to make capital more accessible for small businesses, the JOBS Act authorized the SEC to exempt annually up to $50 million of a company's securities issuances from the registration requirements of the Securities Act of 1933. In response, the SEC has amended Regulation A under...


HTMLCFTC Proposes Framework for Application of Margin Requirements for Uncleared Swaps
Sutherland Asbill Brennan LLP;
Legal Alert/Article
July 14, 2015, previously published on July 13, 2014
On June 29, the CFTC issued proposed regulations to govern the application of the Dodd-Frank margin for uncleared swaps requirements to non-U.S. entities. The CFTC’s proposal would only apply to those swap dealers and major swap participants that are subject to its jurisdiction and,...


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