Join Matindale-Hubbell Connected



Search Results (9925)

  
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

HTMLAccess to Capital for Small and Medium-Sized Businesses - ASC Adopts New Capital-Raising Initiatives for Start-Up Businesses
Alex Bruvels, Jonathan L. Doll; Borden Ladner Gervais LLP;
Legal Alert/Article
September 23, 2016, previously published on September 19, 2016
The Alberta Securities Commission (ASC) has adopted ASC Rule 45-517 Prospectus Exemption for Start-Up Businesses (Start-Up Exemption) which came into effect July 19, 2016. The Start-Up Exemption is a prospectus exemption intended to allow Alberta-based small and start-up issuers to raise modest...

 

HTMLSEC Adopts Changes to Form ADV and Books and Records Rules
Eric A. Arnold, Clifford E. Kirsch, Michael B. Koffler, Susan S. Krawczyk, Holly H. Smith; Sutherland Asbill & Brennan LLP;
Legal Alert/Article
September 19, 2016, previously published on September 19, 2016
On August 25, the Securities and Exchange Commission (the SEC) adopted amendments to Form ADV Part 1 that will require SEC-registered investment advisers to provide a significant amount of new information.1 The SEC adopted these amendments to Form ADV to improve the depth and quality of information...

 

HTMLSEC - Severance Agreements
Shawe Rosenthal LLP;
Legal Alert/Article
September 16, 2016, previously published on August 31, 2016
The Securities and Exchange Commission is cracking down on severance agreement provisions that could possibly deter an employee from communicating with the SEC. The SEC recently announced that it imposed a $265,000 penalty on a company that included a provision in its severance agreement stating...

 

HTMLVirtus Investment Partners Asks the Court to Certify for Interlocutory Appeal Its Decision on Loss Causation Concerning Mutual Fund Disclosures
Joel D. Rothman; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
Legal Alert/Article
September 16, 2016, previously published on September 13, 2016
Although this blog is focused typically on opportunities for institutional investors to recover losses as class members or plaintiffs, we think this decision in Youngers v. Virtus Investment Partners, Inc., may also be of interest. In that case, the plaintiffs brought, on behalf of a putative class...

 

HTMLSoftware Audits: Strategies for Licensees
Julie E. Korostoff, Julia M. Siripurapu; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
Legal Alert/Article
September 14, 2016, previously published on August 29, 2016
If you have received a software audit request from your software vendor or one of the industry trade groups representing software publishers, such as the Software & Information Industry Association (“SIIA”)[1] or the Software Alliance (“BSA”)[2] you are not alone....

 

HTMLThe SEC Continues to Limit Language in Employment-Related Contracts
Margaret Hutchins Campbell, Karen Lynn Vossler; Ogletree, Deakins, Nash, Smoak & Stewart, P.C.;
Legal Alert/Article
September 14, 2016, previously published on September 6, 2016
In orders issued just six days apart last month, the U.S. Securities and Exchange Commission (SEC) rejected language in severance agreements requiring employees to waive rights to receive additional monetary recovery, particularly awards for providing information to government enforcement agencies....

 

HTMLCFTC Finalizes Rules on Cybersecurity Testing for Futures Industry
Sutherland Asbill Brennan LLP;
Legal Alert/Article
September 13, 2016, previously published on September 9, 2016
Under new rules adopted by the Commodity Futures Trading Commission (CFTC), various entities in the futures industry must undertake cybersecurity testing. At its open meeting on Sept. 8, 2016, the CFTC amended its system safeguards rules for exchanges, clearinghouses, and data repositories to...

 

HTMLEB-5 Securities Law Roundtable Offers Technical Language Resource to Lawmakers
Douglas Hauer; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
Legal Alert/Article
September 12, 2016, previously published on August 29, 2016
Check out what’s new in the EB-5 world, where a team of securities lawyers are at work offering to help lawmakers understand complex legal provisions of proposed EB-5 integrity legislation. The group is called the EB-5 Securities Roundtable (the “Roundtable”) and is made up of...

 

HTMLNASAA Publishes Fraud Alert for EB-5 Investors
Douglas Hauer; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
Legal Alert/Article
September 12, 2016, previously published on August 26, 2016
Recently, the North American Securities Administrators Association (NASAA), which is the oldest international organization devoted to investor protection, published an investor advisory for potential investors in EB-5 projects. In the United States, NASAA is the voice of state securities agencies...

 

HTMLProtecting Seniors: A Priority for FINRA, Federal and State Legislators, and Arbitration Panels
Samuel E. Cohen; Marshall Dennehey Warner Coleman & Goggin, P.C.;
Legal Alert/Article
September 12, 2016, previously published on September 1, 2016
America's aging population is growing rapidly and, as a result, a target for financial exploitation by unscrupulous individuals. Over the last several years, the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) have made protecting seniors a priority...

 


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