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Securities Articles - Page 11

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ARTICLES(2,436)

Canadian Securities Regulators Finalize New Requirements for Canadian Registrants
August 23, 2017
LEGAL ALERTS/ARTICLES
Author: Jason J. Brooks, Rebecca A. Cowdery, Ronald M. Kosonic, Matthew P. Williams
Law Firm: Borden Ladner Gervais LLP, Borden Ladner Gervais LLP, Borden Ladner Gervais LLP, Borden Ladner Gervais LLP

The SEC and ICOs: Putting the SEC’s Determination that DAO Tokens are Securities in Context
August 18, 2017
LEGAL ALERTS/ARTICLES
Law Firm: Sheppard Mullin

Reminder: SEC Requires Hyperlinks to Exhibits in Certain Filings Made On or After September 1, 2017
August 15, 2017
LEGAL ALERTS/ARTICLES
Author: Cynthia Reid Beyea, Thomas Edward Bisset, Steven B Boehm, Dodie C. Kent, Cynthia Marie Krus, Stephen E Roth
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

Seventh Circuit Upholds First-Ever “Spoofing” Conviction
August 15, 2017
LEGAL ALERTS/ARTICLES
Author: Peter J. Anderson, Bruce Michael Bettigole, Olga Greenberg, Adam Cross Pollet, Brian Lloyd Rubin
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

‘To Be or Not To Be (a Security)': Regulatory Oversight of Crypto-Assets
August 15, 2017
LEGAL ALERTS/ARTICLES
Author: Andrew McLean
Law Firm: Borden Ladner Gervais LLP

#CCOsGoingViral: An Analysis of SEC and FINRA Enforcement Actions Against Compliance Officers, Written for Millennials (and those who work with Millennials)
August 02, 2017
LEGAL ALERTS/ARTICLES
Author: Brian Lloyd Rubin
Law Firm: Eversheds Sutherland (US) LLP

Florida Appellate Court Declares Reliance to be an Essential Element of State Statutory Securities Claims
July 13, 2017
LEGAL ALERTS/ARTICLES
Author: Robert S. Galbo, Ian M. Ross
Law Firm: Greenberg Traurig, LLP

Financial CHOICE Act Would Complicate the Choices in Bringing and Defending Against SEC Cases
July 07, 2017
LEGAL ALERTS/ARTICLES
Author: Jodi Levine Avergun, Aaron M Buchman, Jason Michael Halper, Joseph Vincent Moreno, Lex Urban, Kendra Leigh Wharton
Law Firm: Cadwalader, Wickersham & Taft LLP, Cadwalader, Wickersham & Taft LLP, Cadwalader, Wickersham & Taft LLP, Cadwalader, Wickersham & Taft LLP, Cadwalader, Wickersham & Taft LLP, Cadwalader, Wickersham & Taft LLP

Changes to Address Registration Requirements Due to FIFA Confederations Cup
July 04, 2017
LEGAL ALERTS/ARTICLES
Law Firm: Fragomen, Del Rey, Bernsen & Loewy, LLP

Securities Commission Offers Rare Guidance Regarding the Due Diligence Defence and the Family, Friends and Business Associates Prospectus Exemption
June 23, 2017
LEGAL ALERTS/ARTICLES
Author: Jeffrey Smith
Law Firm: Borden Ladner Gervais LLP

Québec Court of Appeal Rejects Several Aspects of Pan-Canadian Securities Regime
June 08, 2017
LEGAL ALERTS/ARTICLES
Author: Pascal de Guise, Kent D. Kufeldt, Melinda Park, Philippe Tardif
Law Firm: Borden Ladner Gervais LLP, Borden Ladner Gervais LLP, Borden Ladner Gervais LLP, Borden Ladner Gervais LLP

New Regime to Register the Beneficial Owners of Cayman Islands' Companies and LLCs
June 06, 2017
LEGAL ALERTS/ARTICLES
Author: Gary Smith
Law Firm: Loeb Smith Attorneys

FAQs by Founders or Controlling Shareholders of Companies Considering an IPO on the London Stock Exchange
June 02, 2017
LEGAL ALERTS/ARTICLES
Author: Azlinda Arriffin-Boromand, M Ridgway Barker, David Scott Guin, Farhana Siddiqui, Sharon Whitehouse
Law Firm: Withers Bergman LLP, Withers Bergman LLP, Studio Legale Withers

Executive Pay Coming to a Town Near You
May 18, 2017
LEGAL ALERTS/ARTICLES
Author: Benjamin David Panter
Law Firm: McDonald Hopkins LLC

Money, It’s A Crime
May 18, 2017
LEGAL ALERTS/ARTICLES
Author: Michael J. Fellerman
Law Firm: Shulman Rogers, P.A.

Shareholder Engagement at the Forefront Of Recently Proposed Obca Amendments
May 08, 2017
LEGAL ALERTS/ARTICLES
Author: Joseph DiPonio, Graham King
Law Firm: Borden Ladner Gervais LLP, Borden Ladner Gervais LLP

New Listing Rules for Cayman Islands Stock Exchange
May 04, 2017
LEGAL ALERTS/ARTICLES
Law Firm: Loeb Smith Attorneys

Lending Against Securities After April 1, 2017
May 03, 2017
LEGAL ALERTS/ARTICLES
Law Firm: Norris McLaughlin, P.A.

Good Tactics or Bad Faith: The Divisive Issue of Sandbagging in M&A
May 01, 2017
LEGAL ALERTS/ARTICLES
Author: Colin Cameron-Vendrig
Law Firm: Borden Ladner Gervais LLP

Less is More — the CSA Considers Significantly Streamlining Prospectus and Continuous Reporting Disclosure
May 01, 2017
LEGAL ALERTS/ARTICLES
Author: Charles E. Malone, Melinda Park, Jason Michael Saltzman
Law Firm: Borden Ladner Gervais LLP, Borden Ladner Gervais LLP, Borden Ladner Gervais LLP

Market Trends: The Jobs Act
April 27, 2017
LEGAL ALERTS/ARTICLES
Law Firm: Greenberg Traurig, LLP

SEC Adopts Amendments to Require Exhibit Hyperlinks in Registration Statements and Exchange Act Reports
April 27, 2017
LEGAL ALERTS/ARTICLES
Author: Monique Angelle Cenac, Sarah Trufant Hunt
Law Firm: Jones Walker LLP, Jones Walker LLP

Confidential Financial Information of Non-Party Customers Placed at Risk When Litigants Subpoena FINRA Enforcement Files
April 25, 2017
LEGAL ALERTS/ARTICLES
Law Firm: Greenberg Traurig, LLP

Signs, Signs, Everywhere a Sign: Changes in Store for SEC Enforcement under the Trump Administration
April 19, 2017
LEGAL ALERTS/ARTICLES
Author: Jodi Levine Avergun, Scott Alan Cammarn, Bret A. Campbell, James Robert Duncan, Joseph Vincent Moreno, Nihal Satish Patel, Anne M. Tompkins
Law Firm: Cadwalader, Wickersham & Taft LLP, Cadwalader, Wickersham & Taft LLP, Cadwalader, Wickersham & Taft LLP, Cadwalader, Wickersham & Taft LLP, Cadwalader, Wickersham & Taft LLP, Cadwalader, Wickersham & Taft LLP

Canadian Rights Offerings Given a Confirmatory Green Light to Cross the U.S. Border
April 17, 2017
LEGAL ALERTS/ARTICLES
Author: Manoj Pundit, Rocky Swanson
Law Firm: Borden Ladner Gervais LLP, Borden Ladner Gervais LLP

Know The Law: Employers Can Still Ban Guns From Workplace
April 17, 2017
LEGAL ALERTS/ARTICLES
Law Firm: McLane Middleton, Professional Association

What Public Companies Should Expect in 2017
April 13, 2017
LEGAL ALERTS/ARTICLES
Author: Joseph DiPonio, Manoj Pundit, Gordon G. Raman
Law Firm: Borden Ladner Gervais LLP, Borden Ladner Gervais LLP, Borden Ladner Gervais LLP

SEC Reports Another Historic Year for Whistleblowers
March 30, 2017
LEGAL ALERTS/ARTICLES
Law Firm: Waters Kraus Paul & Siegel

Regulators Review Rights Offerings
March 29, 2017
LEGAL ALERTS/ARTICLES
Author: Dirk Bouwer, Conor J. Cronin, Michael A. Gerrior, Robert P. Kinghan, Timothy J. McCunn
Law Firm: Perley-Robertson, Hill & McDougall LLP/s.r.l., Perley-Robertson, Hill & McDougall LLP/s.r.l., Perley-Robertson, Hill & McDougall LLP/s.r.l., Perley-Robertson, Hill & McDougall LLP/s.r.l., Perley-Robertson, Hill & McDougall LLP/s.r.l.

$15 Million Penalty for Failure to Disclose Negotiations with White Knight Following Tender Offer Bid
March 27, 2017
LEGAL ALERTS/ARTICLES
Law Firm: Greenberg Traurig, LLP

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