Join Matindale-Hubbell Connected



Search Results (9091)

  
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

HTMLSEC Approves Rule Preventing Barters for Expungement Cooperation - What You Can Do to Ensure Compliance
Peter J. Anderson, Eric A. Arnold, Keith J. Barnett, Bruce M. Bettigole, Patricia A. Gorham; Sutherland Asbill & Brennan LLP;
Legal Alert/Article
July 30, 2014, previously published on July 25, 2014
On July 22, the U.S. Securities and Exchange Commission (SEC) approved the Financial Industry Regulatory Authority’s (FINRA) proposed Rule 2081, which prevents firms or associated persons from conditioning settlement or otherwise paying customers for their cooperation in the complaint...

 

HTMLJebel Ali Free Zone Companies Now Able to List on NASDAQ Dubai
Dentons Canada LLP;
Legal Alert/Article
July 29, 2014, previously published on July 2, 2014
Companies established in the Jebel Ali Free Zone (JAFZ) can now apply to list shares on NASDAQ Dubai.

 

Adobe PDFProposed Amendments to Venture Issuer Disclosure Requirements
Jacques Du Plessis, Jonathan O'Connor; Goodmans - Vancouver;
Legal Alert/Article
July 29, 2014, previously published on July 9, 2014
Earlier this year, the Canadian Securities Administrators (CSA) published for comment proposed amendments (the “Proposed Amendments”) to: (i) National Instrument 51-102 Continuous Disclosure Obligations (“NI 51-102”), (ii) National Instrument 41-101 General Prospectus...

 

HTMLInvestment Fund Managers - A Regulatory Check-up
Cristian O. Blidariu, Michael C. Nicholas, Sean D. Sadler, Rene R. Sorell; McCarthy Tétrault LLP;
Legal Alert/Article
July 28, 2014, previously published on July 21, 2014
The Ontario Securities Commission (“OSC”) has recently released two notices providing helpful guidance on the compliance operations of investment fund managers (“IFMs”). This guidance is contained in the 2013 annual review summary report for dealers, advisers and investment...

 

HTMLNew York Proposes “BitLicense” for Virtual Currency Trading
Rebekah E. Raber; Husch Blackwell LLP;
Legal Alert/Article
July 28, 2014, previously published on July 24, 2014
On July 17, 2014, New York became the first state to propose guidelines to regulate virtual currencies such as Bitcoin. The proposed rules issued by the New York Department of Financial Services (“NYDFS”) would require entities engaged in the “virtual currency business” to...

 

HTMLSEC Adopts Rules and Guidance on Cross-Border Security-Based Swap Activities
Luke B. Falgoust; Jones Walker LLP;
Legal Alert/Article
July 25, 2014, previously published on July 17, 2014
On June 25, 2014, the Securities and Exchange Commission ("SEC") adopted the first of a series of rules and guidance on cross-border security-based swap activities for market participants. The rules and guidance explain when a cross-border transaction must be counted toward the...

 

Adobe PDFHalliburton II: A Triumph for Investors’ Rights and Market Integrity
Thomas C. Goldstein; Bernstein Litowitz Berger Grossmann LLP;
Legal Alert/Article
July 25, 2014, previously published on Summer 2014
In an important victory for investors’ rights in Halliburton Co. v. Erica P. John Fund, Inc. (Halliburton II), the United States Supreme Court reaffirmed on June 23, 2014 that investors are entitled to rely on the integrity of the prices of securities that are traded in well-developed...

 

HTMLSecretary Lew Calls on Financial Institutions to Strengthen Their Cybersecurity Defenses
Steven G. Brody, Jason E. Glass; Bingham McCutchen LLP;
Legal Alert/Article
July 25, 2014, previously published on July 17, 2014
On July 16, 2014, U.S. Treasury Secretary Jacob J. Lew delivered the keynote speech at the Delivering Alpha conference, a gathering of hedge fund industry participants. Secretary Lew used this event to issue strongly-worded remarks on the serious nature of cyber-incursions, in particular the...

 

HTMLSEC Brings First Whistleblower Anti-Retaliation Claim Under the Dodd-Frank Act
Matthew T. Bohenek, Steven W. Hansen; Bingham McCutchen LLP;
Legal Alert/Article
July 25, 2014, previously published on July 10, 2014
Dealing with a whistleblower who remains an employee after going to the Government has always been something like traversing a mine field. When the Securities and Exchange Commission (“SEC”) adopted Rule 21F-2, defining a “whistleblower” and making a violation of the...

 

HTMLSEC Staff Issues Proxy Voting Guidance
Abigail Bertumen, Lea Anne Copenhefer, Barry N. Hurwitz, Christopher D. Menconi; Bingham McCutchen LLP;
Legal Alert/Article
July 25, 2014, previously published on July 11, 2014
Just before the July 4th holiday, the SEC’s Division of Investment Management and Division of Corporate Finance issued guidance on proxy voting. The guidance, which is a staff bulletin in the form of a Q&A, is the next chapter in an ongoing discussion about how investment advisers satisfy...

 


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