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HTML10th Circuit Declares SEC Administrative Law Judges Unconstitutional and Creates Circuit Split
Greenberg Traurig LLP;
Legal Alert/Article
January 18, 2017, previously published on January 9, 2017
On Dec. 27, 2016, the United States Court of Appeals for the Tenth Circuit held in Bandimere v. U.S. SEC that the SEC’s administrative law judges (ALJs) hold their positions in violation of the Appointments Clause of the United States Constitution. The court held that SEC ALJs are inferior...

 

HTMLSullivan & Cromwell Partner Selected to be New Chairman of the SEC
Greenberg Traurig LLP;
Legal Alert/Article
January 18, 2017, previously published on January 9, 2017
President-elect Donald Trump has nominated Jay Clayton, a partner at Sullivan & Cromwell, to be chairman of the SEC. According to his profile at Sullivan & Cromwell, Mr. Clayton specializes in public and private mergers and acquisitions transactions, capital markets offerings and regulatory...

 

HTMLSecurities Litigation - What to Watch in 2017
Greenberg Traurig LLP;
Legal Alert/Article
January 18, 2017, previously published on January 9, 2017
2016 was a banner year for securities-related litigation. As we noted in our Dec. 6, 2016 edition of GT Insights, SEC enforcement actions increased in 2016 and were the highest in any year based on available data. Also, securities class action lawsuit filings increased in 2016 to the highest level...

 

HTMLISS Releases Primer regarding its Methodology for Evaluating Equity Compensation Plans in 2017
Greenberg Traurig LLP;
Legal Alert/Article
January 17, 2017, previously published on January 9, 2016
On Dec. 21, 2016, ISS published an updated overview of ISS’s Equity Plan Scorecard methodology that will affect recommendations on proposals being voted on at meetings occurring on or after Feb. 1, 2017.

 

HTMLISS Releases White Paper regarding Pay-for-Performance Mechanics
Greenberg Traurig LLP;
Legal Alert/Article
January 17, 2017, previously published on January 9, 2017
In December 2016, Institutional Shareholder Services, or ISS, released a white paper describing its quantitative and qualitative approach to pay-for-performance mechanics.

 

HTMLEnhancing Financial Disclosure for Reporting Issuers
Dirk Bouwer, Michael A. Gerrior, Robert P. Kinghan, David Lowdon, Timothy J. McCunn; Perley-Robertson, Hill & McDougall LLP/s.r.l.;
Legal Alert/Article
January 12, 2017, previously published on December 28, 2016
The Office of the Chief Accountant of the OSC recently published its observations on various financial reporting topics relevant to reporting issuers. These observations are intended to enhance disclosure effectiveness and to highlight OSC expectations for financial disclosure. In general terms,...

 

HTMLThe 10th Circuit Declares SEC’s Home Courts to be Unconstitutional and Creates Circuit Split
Terry R. Weiss; Greenberg Traurig, LLP;
Legal Alert/Article
January 11, 2017, previously published on December 29, 2016
Right after Christmas, the United States Court of Appeals for the Tenth Circuit delivered a lump of coal to the Securities and Exchange Commission in Bandimere v. U.S. SEC,1 ruling that the SEC's administrative law judges (ALJs) who preside over SEC enforcement actions hold their positions in...

 

HTMLTexas “Frack Master” Charged in Alleged Securities Fraud Scheme
Waters Kraus LLP;
Legal Alert/Article
January 11, 2017, previously published on December 15, 2016
Chris Faulkner - the self-styled “Frack Master” of Dallas - has been charged by the Securities and Exchange Commission (SEC) in an alleged $80 million oil and gas securities fraud scheme. According to the SEC, Faulkner was the ringleader of a scam that circulated phony offering...

 

HTMLPrivate Placement as Defensive Tactic Considered in Context of New Takeover Bid Rules
Kelly R. Ford, Brent W. Kraus, Linda Misetich Dann, Patrick J. Sullivan; Bennett Jones LLP;
Legal Alert/Article
January 11, 2017, previously published on November 1, 2016
On October 24, 2016, the British Columbia Securities Commission and the Ontario Securities Commission (together, the Commissions) released their much anticipated reasons for their July 22, 2016, order, In the matter of Hecla Mining Company (Hecla), which provide guidance for issuers contemplating...

 

HTMLSEC Staff Provides Guidance on Disclosure of Sales Load Variations and Filing of New Share Classes in Light of the DOL Fiduciary Rule
Eric A. Arnold, Frederick R. Bellamy, Cynthia R. Beyea, Thomas E. Bisset, Steven B. Boehm; Sutherland Asbill & Brennan LLP;
Legal Alert/Article
January 6, 2017, previously published on January 5, 2017
On December 16, 2016, the Division of Investment Management (IM) of the Securities and Exchange Commission (SEC) published a Guidance Update (the Guidance) providing guidance on disclosure issues and filing requirements regarding variations in mutual fund sales loads and new mutual fund share...

 


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