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Securities Articles - Page 16

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ARTICLES(2,436)

Changes to the Canadian Early Warning Reporting System
June 09, 2016
LEGAL ALERTS/ARTICLES
Author: Jonathan Poirier, Gordon G. Raman, Linda Tu
Law Firm: Borden Ladner Gervais LLP, Borden Ladner Gervais LLP

SEC Issues New Guidance on the Use of Non-GAAP Financial Measures
June 09, 2016
LEGAL ALERTS/ARTICLES
Author: Joan Susan Guilfoyle, Curtis R Hearn, Alexandra Clark Layfield
Law Firm: Jones Walker LLP, Jones Walker LLP, Jones Walker LLP

CFTC Unanimously Approves Supplemental Proposal on Position Limits
June 08, 2016
LEGAL ALERTS/ARTICLES
Author: Jonathan H. Flynn, Neal E. Kumar, Anthony M. Mansfield, Paul J. Pantano, Michael Sean Selig
Law Firm: Cadwalader, Wickersham & Taft LLP

FinCEN Finalizes Customer Due Diligence Rule
June 08, 2016
LEGAL ALERTS/ARTICLES
Author: Brett M. Kitt
Law Firm: Greenberg Traurig, LLP

Government’s Decision Not to Charge Phil Mickelson Illustrates Difficulties in Proving Insider Trading Cases Against Tippees
June 08, 2016
LEGAL ALERTS/ARTICLES
Author: Joseph Vincent Moreno, Kendra Leigh Wharton
Law Firm: Cadwalader, Wickersham & Taft LLP, Cadwalader, Wickersham & Taft LLP

Update on the EU STS and Risk Retention
June 08, 2016
LEGAL ALERTS/ARTICLES
Author: J. Stephen Day, Neil Macleod, David J. Quirolo, Nick Shiren, Jeremiah Michael Wagner
Law Firm: Cadwalader, Wickersham & Taft LLP, Cadwalader, Wickersham & Taft LLP, Cadwalader, Wickersham & Taft LLP, Cadwalader, Wickersham & Taft LLP, Cadwalader, Wickersham & Taft LLP

FinCEN's Proposed AML Rule: Regulate "Funding Portals" as Broker-Dealers
June 07, 2016
LEGAL ALERTS/ARTICLES
Law Firm: Ropers Majeski

SEC Issues Regulation Crowdfunding
June 07, 2016
LEGAL ALERTS/ARTICLES
Law Firm: Leech Tishman

Omnicare Applied to Audit Reports by the Second Circuit
June 06, 2016
LEGAL ALERTS/ARTICLES
Author: Karl G. Dial
Law Firm: Greenberg Traurig, LLP

Canadian Securities Administrators (CSA) Introduce New Report for Exempt Distributions
June 05, 2016
LEGAL ALERTS/ARTICLES
Law Firm: Perley-Robertson, Hill & McDougall LLP/s.r.l.

Director of SEC’s Division of Enforcement Promises More Enforcement Actions against Private Equity Fund Advisers
June 02, 2016
LEGAL ALERTS/ARTICLES
Law Firm: Eversheds Sutherland (US) LLP

SEC Adopts New Rules to Faciliatate Securities Offerings by Emerging Growth Companies and Smaller Reporting Companies
May 30, 2016
LEGAL ALERTS/ARTICLES
Author: Robert Brian Brodrick
Law Firm: Phillips Nizer LLP

CFTC Adopts Final Trade Option Rule
May 27, 2016
LEGAL ALERTS/ARTICLES
Author: Sohair A. Aguirre, Athena Yvonne Eastwood, Neal E. Kumar, Paul J. Pantano
Law Firm: Cadwalader, Wickersham & Taft LLP

CFTC Awards More than $10 Million to Whistleblower
May 26, 2016
LEGAL ALERTS/ARTICLES
Author: Sohair A. Aguirre, Jonathan H. Flynn, Anthony M. Mansfield, Gregory George Mocek
Law Firm: Cadwalader, Wickersham & Taft LLP

Compliance Departments Must Continue to Evolve as Regulators Refine Their Approach to Spoofing
May 26, 2016
LEGAL ALERTS/ARTICLES
Author: Jonathan H. Flynn, Anthony M. Mansfield, Gregory George Mocek, Paul J. Pantano
Law Firm: Cadwalader, Wickersham & Taft LLP

SEC Adopts Final Exchange Act Registration Rules; Separately Issues Proposed Rule on Incentive-Based Compensation
May 26, 2016
LEGAL ALERTS/ARTICLES
Author: J Andrew Gipson
Law Firm: Jones Walker LLP

The Status Quo Must Change — Canadian Securities Administrators Embark on their Most Ambitious Registrant Regulation Consultation to Date
May 20, 2016
LEGAL ALERTS/ARTICLES
Author: Jason J. Brooks, Rebecca A. Cowdery, Jonathan L. Doll, Laura Paglia, Prema K.R. Thiele
Law Firm: Borden Ladner Gervais LLP, Borden Ladner Gervais LLP, Borden Ladner Gervais LLP, Borden Ladner Gervais LLP, Borden Ladner Gervais LLP

FTC Reviews Security Updates Practices of Eight Mobile Device Manufacturers
May 17, 2016
LEGAL ALERTS/ARTICLES
Law Firm: Eversheds Sutherland (US) LLP

Best Buy: First Appellate Decision Interpreting and Applying Halliburton II Rejects Class Certification Based Upon the Absence of “Front-End” Price Impact.
May 10, 2016
LEGAL ALERTS/ARTICLES
Law Firm: Greenberg Traurig, LLP

The Basics of Securities Law for Startups
April 29, 2016
LEGAL ALERTS/ARTICLES
Author: James H. Gulseth
Law Firm: JGPC Business & Corporate Law

Ontario Securities Commission Amends Take-Over Bid Regime
April 27, 2016
LEGAL ALERTS/ARTICLES
Author: Dirk Bouwer, Michael A. Gerrior, Robert P. Kinghan, Lorraine Mastersmith, 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.

The Dutch Act on Collective Settlement of Mass Claims (WCAM) Goes Global Again: A Forum Outside the United States to Resolve Mass Claims Disputes Internationally
April 14, 2016
LEGAL ALERTS/ARTICLES
Law Firm: Greenberg Traurig, LLP

Historic FCPA Settlement Reflects Increased Regulatory Focus on International Anticorruption Issues Arising from M&A Transactions
April 13, 2016
LEGAL ALERTS/ARTICLES
Author: Ryan J. Correia
Law Firm: Ogletree, Deakins, Nash, Smoak & Stewart, P.C.

Individuals in the Cross Hairs? What This Means for Directors
April 05, 2016
LEGAL ALERTS/ARTICLES
Author: John Thomas Sullivan, David Ronald Woodcock
Law Firm: Jones Day, Jones Day

U.S. Senators Introduce Legislation to Tighten Schedule 13D Reporting Requirements and Increase Oversight of Activist Hedge Funds
April 04, 2016
LEGAL ALERTS/ARTICLES
Law Firm: Eversheds Sutherland (US) LLP

FINRA Arbitration and Emerging Trends
March 30, 2016
LEGAL ALERTS/ARTICLES
Law Firm: Cole, Scott & Kissane, P.A.

SEC Issues Order To Solicit Comments On FINRA Capital Acquisition Broker Proposal And Determine Whether To Approve Or Disapprove The Proposal
March 28, 2016
LEGAL ALERTS/ARTICLES
Law Firm: Eversheds Sutherland (US) LLP

Ontario Securities Commission Provides Tips and Guidance for Reporting Insiders
March 18, 2016
LEGAL ALERTS/ARTICLES
Author: Dirk Bouwer, Michael A. Gerrior, Robert P. Kinghan, Lorraine Mastersmith, 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.

Proposed Canadian Rule on Customer Clearing and Protection of Customer Collateral and Positions
March 16, 2016
LEGAL ALERTS/ARTICLES
Author: Carol E. Derk, Julie Mansi
Law Firm: Borden Ladner Gervais LLP, Borden Ladner Gervais LLP

Ontario Superior Court Decision Confirms That “Public Correction” Requirement is a Temporal Marker
March 10, 2016
LEGAL ALERTS/ARTICLES
Author: John F. Nucci
Law Firm: Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.

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