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Search Results (6290) Documents on securities Show: results per page Sort by:  | NYSE Further Limits Broker Discretionary Voting on Corporate Governance Proposals for the 2012 Proxy Season
Eugene A. Drozdetski, Stuart H. Gelfond, Vasiliki B. Tsaganos; Fried, Frank, Harris, Shriver & Jacobson LLP;
Legal Alert/Article February 20, 2012, previously published on February 16, 2012 On January 25, 2012, the NYSE announced that for certain types of corporate governance proposals it would no longer permit broker discretionary voting. This is another in a series of amendments aimed at limiting broker discretionary voting. In 2009 and 2010 the NYSE eliminated broker discretionary...
|  | SEC Amends Definition of Qualified Client
Smriti Kodandapani, Ephraim D. Lemberger, Robert G. Leonard; Bingham McCutchen LLP;
Legal Alert/Article February 20, 2012, previously published on February 17, 2012 On February 15, 2012, the SEC issued a final rule that amends the definition of qualified client in Rule 205-3 under the Advisers Act. The final rule: (i) codifies the order issued by the SEC on July 12, 2011, that increased the dollar amounts of the asset under management test to $1,000,000 and...
| | The CFTC’s New Business Conduct Standards
Maureen A. Donley, Prashina J. Gagoomal, David C. Olstein, Rachel Kaplan Reicher, Mark D. Young; Skadden, Arps, Slate, Meagher & Flom LLP;
Legal Alert/Article February 20, 2012, previously published on February 17, 2012 Today, the Commodity Futures Trading Commission (CFTC) published in the Federal Register final rules imposing business conduct standards (BCS) on swap dealers (SDs) and major swap participants (MSPs). See Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties,...
| | FOREX Pricing Fraud Suit Against BNY Mellon Advances
Lieff Cabraser Heimann Bernstein LLP;
Legal Alert/Article February 17, 2012, previously published on February 14, 2012 U.S. District Court Judge William Alsup denied in total the motion by The Bank of New York Mellon Corporation and other defendants (collectively, "BNY Mellon") to dismiss a nationwide class complaint brought by the International Union of Operating Engineers, Stationary Engineers Local 39...
| | Service on Counsel: Does SEC Have New Methods for Reaching PRC Companies?
Eugene R. Licker, Mitchell S. Nussbaum; Loeb & Loeb LLP;
Legal Alert/Article February 17, 2012, previously published on February 2012 A Washington, D.C., federal judge may have given the Securities and Exchange Commission a new tool to extend its reach to companies based in the People's Republic of China. Magistrate Judge Deborah Robinson recently ordered Shanghai-based auditors Deloitte Touche Tohmatsu CPA Ltd. (DTT) to appear...
| | Canadian Securities Administrators Release Consultation Paper 91-404
Carol E. Derk, Stephen J. Redican; Borden Ladner Gervais LLP;
Legal Alert/Article February 16, 2012, previously published on February 2012 On February 10, 2012, the Canadian Securities Administrators Derivatives Committee (the “Committee”) released its Consultation Paper 91-404 (“Consultation Paper 91-404”) on Segregation and Portability in OTC Derivatives Clearing. Consultation Paper 91-404 is part of a series...
| | Reporting Requirements for Foreign Financial Accounts: FinCEN Releases Notice Extending Deadline to June 30, 2013 for Certain Signature Authority Filers
Sullivan Cromwell LLP;
Legal Alert/Article February 16, 2012, previously published on February 14, 2012 The Financial Crimes Enforcement Network of the Department of the Treasury (“FinCEN”) today released Notice 2012-1 (the “Notice”), extending the deadline for filing a Report of Foreign Bank and Financial Accounts (an “FBAR”) to June 30, 2013 for certain...
| | State Securities Regulator Temporarily Enjoined From Pursuing Restitution On Behalf Of Citizens Subject To Class Action Settlement
Michael D. Blanchard, Jennifer M. Sepic, Jeffrey M. Tebbs; Bingham McCutchen LLP;
Legal Alert/Article February 16, 2012, previously published on February 15, 2012 The district court for the Northern District of Texas, presiding over a securities class action settlement involving Securities America, Inc. (“SAI”), entered a temporary restraining order on Feb. 13, 2012, enjoining the Montana Commissioner of Securities and Insurance from seeking...
| | SEC’s No-Action Letter Is Good News For Pre-IPO Companies
Gunster Yoakley Stewart P.A.;
Legal Alert/Article February 16, 2012, previously published on February 16, 2012 On February 13, 2012, the Securities and Exchange Commission issued a No-Action Letter to the Fenwick & West LLP law firm. This No-Action Letter is good news for private companies that are approaching the statutory 500 shareholder limit (which would generally require them to register as public...
| | SEC Staff Responds to Questions About the Family Office Rule
Lawrence D. Frishman, Anastasia T. Rockas; Skadden, Arps, Slate, Meagher & Flom LLP;
Legal Alert/Article February 15, 2012, previously published on February 14, 2012 On January 19, 2012, the staff of the Division of Investment Management (the “Staff”) of the Securities and Exchange Commission (the “SEC”) provided a set of responses to questions about rule 202(a)(11)(G)-1, the “family office rule” under the Investment Advisers...
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