Securities Articles - Page 12
ARTICLES(2,436)
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Federal Securities Lawsuit Filings Surge to Record Levels in 2016
- March 27, 2017
- LEGAL ALERTS/ARTICLES
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President’s Two-for-One Deregulation Executive Order Does Not Apply to SEC
- March 27, 2017
- LEGAL ALERTS/ARTICLES
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SEC Revisits Pay-Ratio and Conflict Minerals Reporting
- March 27, 2017
- LEGAL ALERTS/ARTICLES
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SEC Whistleblower Bounty Program Awards Another $7 Million
- March 27, 2017
- LEGAL ALERTS/ARTICLES
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The SEC Expands Cooperation Agreement with Hong Kong Regulators
- March 27, 2017
- LEGAL ALERTS/ARTICLES
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US AG Jeff Sessions Says He Will Enforce FCPA
- March 27, 2017
- LEGAL ALERTS/ARTICLES
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Securities and Exchange Commission Considers Changes to CEO Pay Ratio Rule
- March 22, 2017
- LEGAL ALERTS/ARTICLES
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Equity Shares as Bonus or Compensation for Private Startup Companies
- March 13, 2017
- LEGAL ALERTS/ARTICLES
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Center for Audit Quality Publishes Tool to Assist Audit Committees’ Oversight of New Revenue Recognition Standard
- March 10, 2017
- LEGAL ALERTS/ARTICLES
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Audit Analytics Reports on Top Issues in 2016 SEC Comment Letters
- March 09, 2017
- LEGAL ALERTS/ARTICLES
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Delaware Chancery Court Holds Fee-Shifting Bylaw Invalid
- March 09, 2017
- LEGAL ALERTS/ARTICLES
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Delaware Chancery Court Strikes Down Supermajority Director Removal Bylaw
- March 09, 2017
- LEGAL ALERTS/ARTICLES
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SEC Announces Settlement with Issuer Regarding Undisclosed Perks and Improper Use of Non-GAAP Financial Measures
- March 09, 2017
- LEGAL ALERTS/ARTICLES
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SEC Permits Exclusion of Shareholder Proposals Regarding Virtual-Only Shareholder Meetings and Greenhouse Gas Reductions
- March 09, 2017
- LEGAL ALERTS/ARTICLES
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How To Avoid General Solicitation In A Rule 506(B) Private Offering Of Securities
- March 07, 2017
- LEGAL ALERTS/ARTICLES
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SEC May Leverage Investigation of Yahoo! Data Breaches to Clarify Prior Guidance
- February 27, 2017
- LEGAL ALERTS/ARTICLES
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Preparation for 2016 Fiscal Year-End SEC Filings and 2017 Annual Shareholder Meetings
- February 21, 2017
- LEGAL ALERTS/ARTICLES
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Potential Pitfalls and Regulatory Aspects of FinTech M&A
- February 20, 2017
- LEGAL ALERTS/ARTICLES
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The Tenth Circuit Rules SEC Administrative Judges Are Unconstitutional, Setting Up Potential Supreme Court Review
- February 20, 2017
- LEGAL ALERTS/ARTICLES
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2016 Year in Review: Securities Litigation and Regulation
- February 15, 2017
- LEGAL ALERTS/ARTICLES
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2017 SEC Exam Priorities for Securities Industry Registrants
- February 06, 2017
- LEGAL ALERTS/ARTICLES
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SEC Fines 10 Investment Advisers for Pay-to-Play Violations
- February 03, 2017
- LEGAL ALERTS/ARTICLES
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Alberta Investor Tax Credit Opens for Business
- February 02, 2017
- LEGAL ALERTS/ARTICLES
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The Supreme Court Agrees to Determine Whether SEC Actions Seeking Disgorgement are Subject to the Five-Year Limitations Period Set Forth in 28 U.S.C. § 2462
- February 01, 2017
- LEGAL ALERTS/ARTICLES
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Good Tactics or Bad Faith: The Divisive Issue of Sandbagging in M&A
- January 30, 2017
- LEGAL ALERTS/ARTICLES
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First Circuit Strengthens “Traceability” Pleading Requirement for Section 11 Claims
- January 27, 2017
- LEGAL ALERTS/ARTICLES
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Regulation Crowdfunding: A Six-Month Update
- January 26, 2017
- LEGAL ALERTS/ARTICLES
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FINRA Panel Dismisses the Claimant’s Claims as Untimely and Ineligible under Rule 13206.
- January 25, 2017
- LEGAL ALERTS/ARTICLES
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Sullivan & Cromwell Partner Selected to be New Chairman of the SEC
- January 18, 2017
- LEGAL ALERTS/ARTICLES
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Enhancing Financial Disclosure for Reporting Issuers
- January 12, 2017
- LEGAL ALERTS/ARTICLES