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HTMLSEC Staff To Express No Views On Conflicting Shareholder Proposals Under Rule 14a-8(i)(9) 
Andrew S. Kreider, Jason R. Schendel, John D. Tishler; Sheppard, Mullin, Richter & Hampton LLP;
Legal Alert/Article
March 24, 2015, previously published on January 29, 2015
On January 16, 2015, SEC Chair Mary Jo White issued a directive that the staff of the SEC review its position on Rule 14a-8(i)(9) of the Securities Exchange Act of 1934 (the “Exchange Act”). Concurrent with SEC Chair White’s directive, the Division of Corporation Finance announced...

 

HTMLLegal Update for Securities
Terrance A. Bostic, Jeffrey J. Chomko, Samuel E. Cohen, Andrew W. Davitt, Denis C. Dice; Marshall Dennehey Warner Coleman Goggin P.C.;
Legal Alert/Article
March 18, 2015, previously published on March 20, 2015
In a recent FINRA arbitration, Stanley Abel v. Janney Montgomery Scott, FINRA Arbitration No. 14-00018, Sam Cohen (Philadelphia, PA) obtained a directed verdict on behalf of his clients, Janney Montgomery Scott LLC, and its registered representative. The claimant, a public customer, as well as a...

 

HTMLE-Discovery and Social Networking: Perils and Pitfalls
Candace C. Uxbridge; was;
Legal Alert/Article
March 13, 2015, previously published by LexisNexis Martindale-Hubbell Counsel to Counsel Magazine
This is the article abstract. Important for readers and SEO.

 

HTML2015 Disclosure Update 
Colin Cameron-Vendrig, Jason M. Saltzman; Borden Ladner Gervais LLP;
Legal Alert/Article
March 13, 2015, previously published on February 6, 2015
Each year the Securities and Capital Markets team at BLG is asked what has changed to the continuous disclosure requirements for Canadian public companies.

 

HTMLThe EBA Report On Securitisation Risk Retention, Due Diligence And Disclosure - More Of The Same For The CLO Market?
Robert Cannon, David Quirolo, Nick Shiren, Daniel Tobias; Cadwalader, Wickersham & Taft LLP;
Legal Alert/Article
March 12, 2015, previously published on January 8, 2015
On 22 December 2014, the European Banking Authority (the “EBA”) published an opinion and a report (together, the “Report”) on securitisation retention, due diligence and disclosure requirements under Regulation (EU) No 575/2013 (the “Capital Requirements...

 

HTMLNew York Enacts Revisions to the UCC
Steven N. Cohen, Lech Kalembka, Bryon Mulligan; Cadwalader, Wickersham & Taft LLP;
Legal Alert/Article
March 12, 2015, previously published on December 29, 2014
As many readers are aware, substantial revisions to Article 9 of the Uniform Commercial Code (the “UCC”) became effective in all 50 states and the District of Columbia in 2001 or shortly thereafter.

 

HTMLThe Ontario Court of Appeal Confirms Scrutiny for Leave in Securities Class Actions
Paul Davis, Miranda Lam; McCarthy Tétrault LLP;
Legal Alert/Article
March 12, 2015, previously published on January 7, 2015
At the end of 2005, Ontario legislation came into effect which enabled aggrieved shareholders to bring a statutory action for secondary market misrepresentation against issuers and their directors and officers (and others) without the requirement to establish individual reliance. In order to...

 

HTMLSEC Proposes Amendments to Registration Requirements Further Implementing the JOBS Act
Rebecca G. DiStefano; Greenberg Traurig, LLP;
Legal Alert/Article
March 12, 2015, previously published on January 21, 2015
On Dec. 18, 2014, the Securities and Exchange Commission (SEC) proposed amendments to current rules under Section 12(g) of the Securities Exchange Act of 1934, as amended (Exchange Act), that would implement provisions of Titles V and VI of the Jumpstart Our Business Startups Act, which became law...

 

HTMLSignificant Changes To Canada’s Exempt Market Effective May 5, 2015:
Michael Burns, Rebecca A. Cowdery, Ronald M. Kosonic, Donna Spagnolo, Michael T. Waters; Borden Ladner Gervais LLP;
Legal Alert/Article
March 12, 2015, previously published on February 26, 2015
The increased pace of regulatory change experienced over the last few years appears poised to continue during 2015, along with the Canadian Securities Administrators’ (CSA) focus on enhancing protections for retail investors. The CSA recently finalized and released important amendments to...

 

HTMLEffective May 5, 2015: Implications For Issuers And Dealers, As Well As For Retail Investors
Michael Burns, Rebecca A. Cowdery, Donna Spagnolo, Michael Taylor, Michael T. Waters; Borden Ladner Gervais LLP;
Legal Alert/Article
March 12, 2015, previously published on February 27, 2015
The increased pace of regulatory change experienced over the last few years appears poised to continue during 2015, along with the Canadian Securities Administrators’ (CSA) focus on enhancing protections for retail investors. The CSA recently finalized and released important amendments to...

 


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