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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 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...

 

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...

 

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...

 

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...

 

HTMLUS Second Circuit Heightens the Standard of Proof Required To Sustain Tipper/Tippee Insider Trading Convictions
Melanie M. Burke, Joseph De Simone, William Michael, Richard M. Rosenfeld, Matthew A. Rossi; Mayer Brown LLP;
Legal Alert/Article
February 26, 2015, previously published on December 15, 2014
On December 10, 2014, in United States v. Newman, et al., the US Court of Appeals for the Second Circuit clarified the elements required to establish insider trading in tipper/tippee cases by holding that “in order to sustain a conviction for insider trading, the government must prove beyond...

 

HTMLSEC Releases 2015 Examination Priorities
Thomas M. Devaney, Jung Yeon Son; Sheppard, Mullin, Richter & Hampton LLP;
Legal Alert/Article
February 26, 2015, previously published on January 16, 2015
On January 13, 2015, the Office of Compliance Inspections and Examinations (“OCIE”) of the Securities and Exchange Commission (the “SEC”) released its 2015 examination priorities. The SEC identified three thematic issues: (i) matters relating to retail investors and...

 

HTMLFederal Reserve Board Issues Volcker Rule Conformance Period Extension
Scott A. Anenberg, Michael D. Lewis, Jerome J. Roche, David R. Sahr, Donald S. Waack; Mayer Brown LLP;
Legal Alert/Article
February 26, 2015, previously published on December 19, 2014
On December 18, 2014, the Federal Reserve Board (“Board”) announced that it is extending the Volcker Rule conformance period for certain fund investments and relationships from July 21, 2015, until July 21, 2016, and that it intends next year to grant a further extension of the...

 

HTMLInterlocutory Injunction Granted: Defendants Ordered to Stop Using Plaintiff’s Business Name
Adrian J. Howard, Beverley Moore, Chantal Saunders; Borden Ladner Gervais LLP;
Legal Alert/Article
February 25, 2015, previously published on December 16, 2014
The Plaintiff applied for an interlocutory injunction to stop the personal Defendant and corporate Defendant, Alpha Neon Sign Consulting Ltd., from using their business name, “Alpha Neon”. The Defendants compete with the Plaintiff and have been using the Alpha Neon name in its competing...

 

HTMLHIPAA Settlement Continues to Emphasize the Importance of Security Policies and Procedures
Kate F. Stewart; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
Legal Alert/Article
February 19, 2015, previously published on December 9, 2014
A recently announced settlement between Anchorage Community Mental Health (“ACMHS”) and the U.S. Department of Health & Human Services Office for Civil Rights (“OCR”) emphasizes, once again, the importance of compliance with the Security Rule and keeping IT...

 


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