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Securities Articles - Page 14

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ARTICLES(2,436)

SEC Extends Comment Period on Disclosure Update and Simplification Proposed Rules
October 17, 2016
LEGAL ALERTS/ARTICLES
Law Firm: Greenberg Traurig, LLP

SEC Provides Guidance on “Brokerage Windows” in 401(k) Plans
October 17, 2016
LEGAL ALERTS/ARTICLES
Law Firm: Greenberg Traurig, LLP

Too Close For Audit Comfort: SEC Announces First Enforcement Actions for Auditor Independence Failures due to Close Personal Relationships
October 17, 2016
LEGAL ALERTS/ARTICLES
Law Firm: Greenberg Traurig, LLP

Canadian Appellate Court Confirms That Judges Must Consider Evidence From Both Parties when Deciding a Motion for Leave to Bring a Class Action
October 13, 2016
LEGAL ALERTS/ARTICLES
Author: John F. Nucci
Law Firm: Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.

In GAMCO v. Vivendi, the Second Circuit Affirms that Value Investors Can Rely on the Fraud-on-the-Market Presumption Unless Specific Facts Establish Non-Reliance
October 13, 2016
LEGAL ALERTS/ARTICLES
Author: Joel Rothman
Law Firm: Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.

In The Wake of the Yahoo Breach, the CSA Offers Timely Guidance to Public Companies
October 13, 2016
LEGAL ALERTS/ARTICLES
Author: Joseph DiPonio
Law Firm: Borden Ladner Gervais LLP

Supreme Court Justices Appear Hesitant to Narrow the Scope of Insider Trading Liability
October 13, 2016
LEGAL ALERTS/ARTICLES
Author: Jodi Levine Avergun, Alexander Hokenson, Joseph Vincent Moreno, Emily J. Rockwood
Law Firm: Cadwalader, Wickersham & Taft LLP, Cadwalader, Wickersham & Taft LLP

CFTC Issues Fourth Penalty for Inaccurate Large Trader Reporting of Swaps
October 06, 2016
LEGAL ALERTS/ARTICLES
Author: Jonathan H. Flynn, Anthony M. Mansfield, Natalie Mitchell, Paul J. Pantano
Law Firm: Cadwalader, Wickersham & Taft LLP

SEC Files Civil Claims Against General Counsel for Mishandling Internal Investigation and Securities Disclosures
October 05, 2016
LEGAL ALERTS/ARTICLES
Law Firm: Duane Morris LLP

Access to Capital for Small and Medium-Sized Businesses - ASC Adopts New Capital-Raising Initiatives for Start-Up Businesses
September 23, 2016
LEGAL ALERTS/ARTICLES
Author: Jonathan L. Doll
Law Firm: Borden Ladner Gervais LLP

SEC Adopts Changes to Form ADV and Books and Records Rules
September 19, 2016
LEGAL ALERTS/ARTICLES
Author: Eric A. Arnold, Clifford Evan Kirsch, Michael Bennett Koffler, Susan Schmidt Krawczyk, Holly H Smith
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

SEC - Severance Agreements
September 16, 2016
LEGAL ALERTS/ARTICLES

Virtus Investment Partners Asks the Court to Certify for Interlocutory Appeal Its Decision on Loss Causation Concerning Mutual Fund Disclosures
September 16, 2016
LEGAL ALERTS/ARTICLES
Author: Joel Rothman
Law Firm: Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.

Software Audits: Strategies for Licensees
September 14, 2016
LEGAL ALERTS/ARTICLES
Author: Julie E. Korostoff, Julia Siripurapu
Law Firm: Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C., Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.

The SEC Continues to Limit Language in Employment-Related Contracts
September 14, 2016
LEGAL ALERTS/ARTICLES
Author: Margaret Hutchins Campbell, Karen Lynn Vossler
Law Firm: Ogletree, Deakins, Nash, Smoak & Stewart, P.C., Ogletree, Deakins, Nash, Smoak & Stewart, P.C.

CFTC Finalizes Rules on Cybersecurity Testing for Futures Industry
September 13, 2016
LEGAL ALERTS/ARTICLES
Law Firm: Eversheds Sutherland (US) LLP

EB-5 Reauthorization Heading into Lame Duck Session of Congress
September 12, 2016
LEGAL ALERTS/ARTICLES
Author: Douglas Dwight Hauer
Law Firm: Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.

EB-5 Securities Law Roundtable Offers Technical Language Resource to Lawmakers
September 12, 2016
LEGAL ALERTS/ARTICLES
Author: Douglas Dwight Hauer
Law Firm: Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.

NASAA Publishes Fraud Alert for EB-5 Investors
September 12, 2016
LEGAL ALERTS/ARTICLES
Author: Douglas Dwight Hauer
Law Firm: Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.

Three Immigration Lawyers Sanctioned by the SEC for Brokering EB-5 Investments
September 12, 2016
LEGAL ALERTS/ARTICLES
Author: Douglas Dwight Hauer, Peter Michael Saparoff
Law Firm: Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C., Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.

Six Business Recovery Centers Open Across Flooded Areas
September 11, 2016
LEGAL ALERTS/ARTICLES
Law Firm: Taylor, Porter, Brooks & Phillips, L.L.P.

ACMPR: Same As It Ever Was — With More Options for Patients and Licensed Producers
September 09, 2016
LEGAL ALERTS/ARTICLES
Author: Andrew Powers, Michael Saliken, David Wood
Law Firm: Borden Ladner Gervais LLP, Borden Ladner Gervais LLP, Borden Ladner Gervais LLP

SEC Scrutinizes Severance Agreements for Compliance with Dodd-Frank
September 07, 2016
LEGAL ALERTS/ARTICLES
Author: Jack S. Gearan
Law Firm: Greenberg Traurig, LLP

SEC Fines Company $265,000 for Severance Agreements that Potentially Chilled Whistleblowers
September 02, 2016
LEGAL ALERTS/ARTICLES
Author: Richard J Cino, David R. Jimenez, Joseph Christian Toris
Law Firm: Jackson Lewis P.C., Jackson Lewis P.C., Jackson Lewis P.C.

Diversity on Corporate Boards
September 01, 2016
LEGAL ALERTS/ARTICLES
Author: Carole Sobin
Law Firm: Ogletree, Deakins, Nash, Smoak & Stewart, P.C.

Federal Appeals Court Limits Disgorgement in SEC Enforcement Cases
August 30, 2016
LEGAL ALERTS/ARTICLES
Author: Bruce E. Reinhart
Law Firm: McDonald Hopkins LLC

ISDA Publishes Variation Margin Protocol
August 24, 2016
LEGAL ALERTS/ARTICLES
Author: Brian G. Barrett, James M. Cain, David Tilton McIndoe, Mark David Sherrill
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

New Medical Marihuana Regulations Send the MMPR Up in Smoke
August 24, 2016
LEGAL ALERTS/ARTICLES
Author: Linda Tu
Law Firm: Borden Ladner Gervais LLP

SEC Proposes Amendments to Smaller Reporting Company Definition
August 24, 2016
LEGAL ALERTS/ARTICLES
Author: Megan Nancy Gates, Sarita B. Malakar
Law Firm: Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C., Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.

SEC Adopts Amendments Updating its Rules of Practice for Administrative Proceedings
August 19, 2016
LEGAL ALERTS/ARTICLES
Law Firm: Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.

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