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Securities Articles - Page 13

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ARTICLES(2,436)

Private Placement as Defensive Tactic Considered in Context of New Takeover Bid Rules
January 11, 2017
LEGAL ALERTS/ARTICLES
Author: Kelly R. Ford, Brent W. Kraus, Linda Misetich Dann
Law Firm: Bennett Jones LLP, Bennett Jones LLP, Bennett Jones LLP

Texas “Frack Master” Charged in Alleged Securities Fraud Scheme
January 11, 2017
LEGAL ALERTS/ARTICLES
Law Firm: Waters Kraus Paul & Siegel

SEC Staff Provides Guidance on Disclosure of Sales Load Variations and Filing of New Share Classes in Light of the DOL Fiduciary Rule
January 06, 2017
LEGAL ALERTS/ARTICLES
Author: Eric A. Arnold, Frederick R Bellamy, Cynthia Reid Beyea, Thomas Edward Bisset, Steven B Boehm
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

Court in the BP p.l.c. Securities Litigation Upholds Opt-Out Procedures But Then Allows Individual Action Plaintiffs to Opt Back Into $175 Million Settlement
January 05, 2017
LEGAL ALERTS/ARTICLES
Author: Kevin Christopher Mortimer, Joel Rothman, Peter Michael Saparoff
Law Firm: Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C., Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C., Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.

The Trump Administration: Potential Levers of Regulatory Change Affecting the Commodities Markets
January 05, 2017
LEGAL ALERTS/ARTICLES
Author: Scott Alan Cammarn, Athena Yvonne Eastwood, Neal E. Kumar, Steven Lofchie, Anthony M. Mansfield
Law Firm: Cadwalader, Wickersham & Taft LLP, Cadwalader, Wickersham & Taft LLP

SEC Approves Final State Crowdfunding Rules
January 02, 2017
LEGAL ALERTS/ARTICLES
Law Firm: Pessin Katz Law, P.A.

Canadian Courts Take a Second Look at Fairness to Shareholders in Plans of Arrangement
December 28, 2016
LEGAL ALERTS/ARTICLES
Author: Philippe Tardif
Law Firm: Borden Ladner Gervais LLP

ECON Agrees Compromise Amendments to STS/Risk Retention
December 28, 2016
LEGAL ALERTS/ARTICLES
Author: Robert Cannon, J. Stephen Day, Neil Macleod, Claire Suzanne Puddicombe
Law Firm: Cadwalader, Wickersham & Taft LLP, Cadwalader, Wickersham & Taft LLP, Cadwalader, Wickersham & Taft LLP, Cadwalader, Wickersham & Taft LLP

U.S. Supreme Court Clarifies Standards for "Tippee" Insider Trading Liability
December 28, 2016
LEGAL ALERTS/ARTICLES
Author: Meir Feder, Harold Keith Gordon, Samidh Guha, Henry Klehm, Joan Elizabeth McKown
Law Firm: Jones Day, Jones Day, Jones Day, Jones Day, Jones Day

Amended Intrastate and Small Offering Exemptions to Take Effect
December 22, 2016
LEGAL ALERTS/ARTICLES
Author: J Andrew Gipson
Law Firm: Jones Walker LLP

Division of Corporation Finance Provides Guidance on Determining Qualified Institutional Buyers Under Rule 144A
December 21, 2016
LEGAL ALERTS/ARTICLES
Law Firm: Greenberg Traurig, LLP

Division of Corporation Finance Provides Guidance on Regulation S
December 21, 2016
LEGAL ALERTS/ARTICLES
Law Firm: Greenberg Traurig, LLP

SEC Sanctions Demonstrate Broad Reach of Internal Controls and Books and Records Requirements
December 21, 2016
LEGAL ALERTS/ARTICLES
Law Firm: Greenberg Traurig, LLP

SEC Adopts Amendments to Regulation S-X Applicable to BDCs
December 14, 2016
LEGAL ALERTS/ARTICLES
Author: Cynthia Reid Beyea, Steven B Boehm, Cynthia Marie Krus
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

Marquee Energy Ltd.'s Successful Appeal: Shareholder Vote from Alberta Oilsands Inc. Not Required
December 12, 2016
LEGAL ALERTS/ARTICLES
Author: Joëlle Dudelzak, Melissa Smith
Law Firm: Borden Ladner Gervais LLP, Borden Ladner Gervais LLP

SEC Intensifies Scrutiny of Employment-Related Agreements
December 12, 2016
LEGAL ALERTS/ARTICLES
Law Firm: Duane Morris LLP

SEC Adopts Rules to Modernize Information Reported by Registered Investment Companies
December 09, 2016
LEGAL ALERTS/ARTICLES
Author: Frederick R Bellamy, Cynthia Reid Beyea, Steven B Boehm, James M. Cain, Cynthia Marie Krus
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

Derivatives Update: What You Should Know As We Enter 2017
November 25, 2016
LEGAL ALERTS/ARTICLES
Author: Nanette Aguirre, Douglas E. Arend
Law Firm: Greenberg Traurig, LLP, Greenberg Traurig, LLP

Preparing for the 2017 Proxy Season: Recent Developments in Proxy Access and Universal Proxy Cards
November 25, 2016
LEGAL ALERTS/ARTICLES
Author: Monique Angelle Cenac, Dionne M Rousseau
Law Firm: Jones Walker LLP, Jones Walker LLP

CFTC Approves Supplemental Proposal for Proposed Regulation AT
November 24, 2016
LEGAL ALERTS/ARTICLES
Author: Athena Yvonne Eastwood, Neal E. Kumar, Anthony M. Mansfield, Natalie Mitchell, Paul J. Pantano
Law Firm: Cadwalader, Wickersham & Taft LLP

SEC Provides Guidance on Form S-8 and Fee Calculations
November 24, 2016
LEGAL ALERTS/ARTICLES
Law Firm: Greenberg Traurig, LLP

SEC Provides Guidance on “Baby Shelf” Limitations
November 24, 2016
LEGAL ALERTS/ARTICLES
Law Firm: Greenberg Traurig, LLP

Enforcement at the Gates: SEC Action against Big Four Firm and New International Standards Highlight the Role of Accountants as Financial Gatekeepers
November 15, 2016
LEGAL ALERTS/ARTICLES
Author: Bret A. Campbell, James Robert Duncan, Joseph Vincent Moreno
Law Firm: Cadwalader, Wickersham & Taft LLP, Cadwalader, Wickersham & Taft LLP

Future Uncertainty in Plans of Arrangement
October 27, 2016
LEGAL ALERTS/ARTICLES
Author: Joëlle Dudelzak, Laura M. Poppel, Melissa Smith
Law Firm: Borden Ladner Gervais LLP, Borden Ladner Gervais LLP, Borden Ladner Gervais LLP

Alberta to Join the CSA on Disclosure of Diversity Practices
October 20, 2016
LEGAL ALERTS/ARTICLES
Author: Michael Gaber, Steve G. Pearson
Law Firm: Borden Ladner Gervais LLP, Borden Ladner Gervais LLP

Delaware Chancery Court Clarifies that Disclosure Claims Should Be Brought Pre-Closing
October 20, 2016
LEGAL ALERTS/ARTICLES
Law Firm: Greenberg Traurig, LLP

Recent SEC Comment Letter Provides Insight to SEC’s Current Views on Non-GAAP Measures
October 20, 2016
LEGAL ALERTS/ARTICLES
Law Firm: Greenberg Traurig, LLP

SEC Sanctions Three Issuers for Failing to Timely Disclose Equity Issuances
October 20, 2016
LEGAL ALERTS/ARTICLES
Law Firm: Greenberg Traurig, LLP

SEC Brings Action Against General Counsel For Failure to Disclose and Accrue a Loss Contingency
October 17, 2016
LEGAL ALERTS/ARTICLES
Law Firm: Greenberg Traurig, LLP

SEC Chair, Mary Jo White, on the Importance of Board Diversity and Possible Change in Board Diversity Disclosure
October 17, 2016
LEGAL ALERTS/ARTICLES
Law Firm: Greenberg Traurig, LLP

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