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|New York Enacts Revisions to the UCC|
Steven N. Cohen, Lech Kalembka, Bryon Mulligan; Cadwalader, Wickersham & Taft LLP;
March 12, 2015, previously published on December 29, 2014As 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.
|Significant 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;
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...
|SEC Proposes Amendments to Registration Requirements Further Implementing the JOBS Act|
Rebecca G. DiStefano; Greenberg Traurig, LLP;
March 12, 2015, previously published on January 21, 2015On 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...
|Effective 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;
March 12, 2015, previously published on February 27, 2015The 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...
|US 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;
February 26, 2015, previously published on December 15, 2014On 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...
|Federal 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;
February 26, 2015, previously published on December 19, 2014On 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...
|SEC Releases 2015 Examination Priorities|
Thomas M. Devaney, Jung Yeon Son; Sheppard, Mullin, Richter & Hampton LLP;
February 26, 2015, previously published on January 16, 2015On 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...
|Interlocutory Injunction Granted: Defendants Ordered to Stop Using Plaintiff’s Business Name|
Adrian J. Howard, Beverley Moore, Chantal Saunders; Borden Ladner Gervais LLP;
February 25, 2015, previously published on December 16, 2014The 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...
|HIPAA Settlement Continues to Emphasize the Importance of Security Policies and Procedures|
Kate F. Stewart; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
February 19, 2015, previously published on December 9, 2014A 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...
|Georgia’s Securities Division Launches New Website For Electronic Form D Filing|
Lori A. Gelchion, Robert C. Hussle, Jody L. Spencer; Rogers & Hardin;
February 18, 2015, previously published on December 2014The Securities Division of the Georgia Secretary of State’s Office has launched its online Electronic Filing Depository (“EFD”) to be used for the filing of notices of certain exempt securities offerings.