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HTMLAdverse Tax Consequences Under the New Connecticut Entity Transaction Act
Morris W. Banks; Pullman & Comley, LLC;
Legal Alert/Article
September 30, 2014, previously published on September 17, 2014
The Connecticut Entity Transaction Act (“CETA”) was enacted by the Connecticut General Assembly in 2011 and became effective on January 1, 2014. It is intended to make Connecticut competitive with other states that grant corporations, limited liability companies, limited partnerships,...

 

HTMLSupreme Court’s Halliburton Ruling May Be A Curse in Disguise for Securities Defendants
Gregory P. Graham; Marshall Dennehey Warner Coleman & Goggin, P.C.;
Legal Alert/Article
September 30, 2014, previously published on September 1, 2014
On June 23, 2014, the U.S. Supreme Court issued its anticipated decision in Halliburton Co. v. Erica P. John Fund, Inc., 134 S.Ct. 2398 (2014). Although pre-decision discussion speculated that the case might become the most important securities decision in years, the Court ultimately chose a...

 

HTMLWhistle While You Work? The Lack of Consensus Regarding Who Is a Whistleblower Is No Fairy Tale
Kerri H. O'Brien; Marshall Dennehey Warner Coleman & Goggin, P.C.;
Legal Alert/Article
September 30, 2014, previously published on September 1, 2014
Under the Dodd-Frank Reform Act, Pub.L. No. 111-203, 124 Stat. 1367 (codified as amended in scattered sections of U.S.C. titles 7, 12, 15 and 31), employees who blow the whistle on possible securities law violations are protected. The Dodd-Frank Act extends such protection to those employees who...

 

HTMLTippers and Tippees and Securities Liability
David L. Hefflinger; McGrath North Mullin & Kratz, PC LLO;
Legal Alert/Article
September 29, 2014, previously published on Third Quarter 2014
The Wall Street Journal recently reported on an SEC investigation of several hedge funds. The hedge funds traded on material nonpublic information concerning a change in Medicare reimbursement rates. Over a period of approximately one hour, an employee of the House Ways and Means Committee...

 

HTMLShareholder Activism Goes Mainstream - After The Pershing Square Holdings IPO, Shareholder Activism Should Be On Every Corporation’s Radar
Matthew E. Lawson, Clarke Ries; McCarthy Tétrault LLP;
Legal Alert/Article
September 26, 2014, previously published on September 25, 2014
Shareholder activists are increasingly influential in Canada’s M&A landscape, but expect that trend to intensify with a proposal to list Pershing Square Holdings on the Euronext Amsterdam stock exchange. The listing is expected to complete Bill Ackman’s capitalization of the new $5...

 

HTMLProposed Changes to Takeover Bid Regime in Canada Would Put More Time in the Hands of Target Boards
Fraser Bourne, Garth M. Girvan, Heidi Gordon, Graham P.C. Gow, Clemens Mayr; McCarthy Tétrault LLP;
Legal Alert/Article
September 26, 2014, previously published on September 11, 2014
On September 11, 2014, the Canadian Securities Administrators (CSA) published CSA Notice 62-306 ¿ Update on Proposed National Instrument 62-105 Security Holder Rights Plans (Notice) and the Autorité des marchés financiers (AMF) Consultation Paper An Alternative Approach to...

 

HTMLInsider Trading: Securities Commission to Think Twice About Excessive Sanctions and Speculation
Kate Findlay; McCarthy Tétrault LLP;
Legal Alert/Article
September 26, 2014, previously published on September 24, 2014
In a rare appellate court decision, the Court of Appeal in Walton v. Alberta (Securities Commission), 2014 ABCA 273, has set aside a decision by the Alberta Securities Commission and has held that any monetary penalties levied must be proportionate to the circumstances of the offender and supported...

 

Adobe PDFRecent SEC Enforcement Actions Over Insider Reporting of Stock Transactions
Kelly C. Simoneaux, Hope M. Spencer, Sarah S. Trufant; Jones Walker LLP;
Legal Alert/Article
September 25, 2014, previously published on September 2014
On September 10, 2014, the Securities and Exchange Commission (“SEC”) announced enforcement actions against 13 directors and officers, 10 investment firms and 5 individuals with beneficial ownership in public companies, in connection with delinquent reporting of securities holdings and...

 

HTMLCFTC Issues JOBS Act Exemptive Relief: Resolves Issues Surrounding the Use of General Solicitation by Private Funds
Michelle R. Cirillo, Derek Wolfgruber; Bingham McCutchen LLP;
Legal Alert/Article
September 25, 2014, previously published on September 15, 2014
On September 9, 2014, the Commodity Futures Trading Commission’s (“CFTC”) Division of Swap Dealer and Intermediary Oversight (the “Division”) issued a letter which provides exemptive relief to commodity pool operators (“CPOs”) of private funds from the...

 

Adobe PDF“Inc.” No Longer a Safe Shield - Federal Circuit Greatly Expands Officer/Shareholder Liability Resulting from US Customs Violations
Sydney H. Mintzer, Jing Zhang; Mayer Brown LLP;
Legal Alert/Article
September 25, 2014, previously published on September 23, 2014
On September 16, 2014, an en banc panel of the US Court of Appeals for the Federal Circuit (the “En Banc Panel”) issued a far-reaching decision, Trek Leather III, greatly expanding corporate shareholders’ and officers’ potential liability for customs violations. It reversed...

 


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