Search Results (9873)
Documents on securities law
Show: results per page
|TSX Proposes Rules Requiring New Website Disclosure and Amendments to Equity Based Compensation Plans|
Colin Cameron-Vendrig, Jason M. Saltzman; Borden Ladner Gervais LLP;
June 23, 2016, previously published on June 15, 2016The Toronto Stock Exchange ("TSX") has proposed amendments to the TSX Company Manual that will (i) require listed issuers to post certain corporate governance type documents on their websites (the "Website Disclosure Amendment"), and (ii) amend the disclosure requirements for...
|SEC Money Market Mutual Fund Rules - The Impact on Retirement Plans|
Gilbert C. Van Loon; Butler Snow LLP;
June 20, 2016, previously published on June 1, 2016In October of this year, SEC rules will require that certain types of money market funds utilize a floating net asset value (rather than the current stable $1 net asset value), require (or in some cases, permit) the imposition of redemption fees on withdrawals, and permit temporary delays before...
|CFTC Proposes to Expand Mandatory Clearing to Include Additional Classes of Interest Rate Swaps|
James M. Cain, Catherine M. Krupka, David T. McIndoe, Mark D. Sherrill, R. Michael Sweeney; Sutherland Asbill & Brennan LLP;
June 20, 2016, previously published on June 17, 2016On June 9, the Commodity Futures Trading Commission (CFTC) released a notice of proposed rulemaking regarding an expansion of CFTC Regulation 50.4(a). If adopted, additional classes of interest rate swaps will become subject to mandatory clearing pursuant to the Dodd-Frank Act. The proposed...
|Update: Vivendi Wins Summary Judgment Against Another Class Member As Litigation Winds Down|
John S. "Terry" McMahon; Mintz Levin Cohn Ferris Glovsky Popeo P.C.;
June 17, 2016, previously published on May 3, 2016We speculated in September that a decision to grant summary judgment against a class member in the long-running In re Vivendi Universal, S.A. Securities Litigation, 02 Civ. 5571 (SAS) (S.D.N.Y.) “could have implications for class members, but more likely for opt-outs.” Now Judge Shira...
|Dodd-Frank and Executive Compensation - Part 1: Status Update|
Alexander Song; Mintz Levin Cohn Ferris Glovsky Popeo P.C.;
June 17, 2016, previously published on April 28, 2016It’s been over five years since the signing of the Dodd-Frank Wall Street Reform and Consumer Act (“Dodd-Frank”) and we are still waiting for the U.S. Securities and Exchange Commission to finalize rules on several provisions related to executive compensation. Below is a summary...
|Harmonized Reporting for Private Placements (with Increased Disclosure Requirements)|
Eric Chernin, Brent W. Kraus, Matthew R. Olson; Bennett Jones LLP;
June 16, 2016, previously published on April 27, 2016An issuer that distributes securities to the public must either file a prospectus with securities regulatory authorities and deliver such prospectus to prospective purchasers, or rely upon a prospectus exemption available under securities legislation. Issuers who rely on certain prospectus...
|View from London: The PSC Register|
Fiona Adams; Greenberg Traurig Maher LLP;
June 14, 2016, previously published on June 2, 2016As of April 6, 2016, UK companies and limited liability partnerships (LLPs) are now required to hold and maintain a register of people with significant control (the PSC Register). The PSC Register is primarily aimed at identifying and listing individuals with significant control over a UK company...
|View from Italy: New Incentive Rules for the Unfreezing of Bad Loans of the Italian Bank|
Greenberg Traurig LLP;
June 14, 2016, previously published on June 2, 2016After a lot of buzz, the highly anticipated “Banks Decree” (“Decree”) setting forth urgent measures on the reform of cooperative banks, the guarantee for the securitization of non-performing loans (“NPLs”) and the tax regime for crisis procedures and collective...
|View from Israel: A Guide to Understanding Anti-Assignment Clauses|
Aaron R. Katz; Greenberg Traurig, LLP;
June 14, 2016, previously published on June 2, 2016With the increasing trend of globalization in the business world, Israeli companies and investors are commonly entering into agreements with U.S.-based entities. One of the most frequently found clauses in U.S. commercial agreements is an anti-assignment provision that prevents either or both of...
|CFTC Adopts Rules for the Cross-Border Application of Its Margin Rules|
Sutherland Asbill Brennan LLP;
June 14, 2016, previously published on June 10, 2016On May 24, 2016, the U.S. Commodity Futures Trading Commission (“CFTC”) adopted rules (the “Final Rule”) establishing a framework for applying the CFTC’s previously adopted margin rules (the “CFTC Margin Rules”) to cross-border uncleared swaps. The Final...