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Securities Articles - Page 2

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ARTICLES(2,436)

The Securities (Amendment) Act 2021: strengthening Mauritius' future on the global capital market
July 12, 2021
LEGAL ALERTS/ARTICLES
Author: Priscilla Balgobin-Bhoyrul, Rowin Gurusami, Lylah Joorawon, Rayyan Oomar Sorefan
Law Firm: Dentons Sirote PC

Protecting Against Elder Investment Fraud and Exploitation
June 21, 2021
LEGAL ALERTS/ARTICLES
Author: Rebecca A. Beers, Peter John Tepley
Law Firm: Rumberger, Kirk & Caldwell Professional Association, Rumberger, Kirk & Caldwell Professional Association

Law360 Quotes Mary Grieco on Apple’s New App Tracking Transparency Framework
May 05, 2021
LEGAL ALERTS/ARTICLES
Author: Spencer G. Feldman
Law Firm: Olshan Frome Wolosky LLP

Sellers Beware: Fiduciary Duty Risks to Directors
March 16, 2021
LEGAL ALERTS/ARTICLES
Author: Kevin M. Cloutier, Elizabeth Rowe
Law Firm: Sheppard Mullin

Ridge barker Featured in Cointelegraph's 'Yellen Convenes Sec, CFTC and Fed Leaders on Robinhood Question'
February 05, 2021
LEGAL ALERTS/ARTICLES
Author: M Ridgway Barker
Law Firm: Withers Bergman LLP

SEC Adopts Amendments to Permit the Use of Electronic Signatures for SEC Filings
November 24, 2020
LEGAL ALERTS/ARTICLES
Author: Andrew M. Freedman, Kenneth M. Silverman
Law Firm: Olshan Frome Wolosky LLP, Olshan Frome Wolosky LLP

The SEC Rebuilds the Integration Principles Guiding Concurrent Private and Public Offerings of Securities
November 23, 2020
LEGAL ALERTS/ARTICLES
Author: Spencer G. Feldman
Law Firm: Olshan Frome Wolosky LLP

Motley Rice Named Co-Lead Counsel In Securities Fraud Lawsuit For Intel Investors Hurt By Delayed Production Of Next Generation Computer Processer
November 09, 2020
LEGAL ALERTS/ARTICLES
Law Firm: Motley Rice LLC

A FINRA Securities Firm's Failure to Supervise - a Case Study
October 27, 2020
WHITE PAPERS
Author: W. Scott Greco
Law Firm: Greco & Greco, P.C., Securities Fraud Attorneys

Gibraltar-Based INX Ltd. Launches SEC-Registered Security Token IPO
September 10, 2020
LEGAL ALERTS/ARTICLES
Author: Barbara A. Jones
Law Firm: Greenberg Traurig, LLP

Noteworthy Recent SEC Rule Changes
September 08, 2020
LEGAL ALERTS/ARTICLES
Author: M Ridgway Barker
Law Firm: Withers Bergman LLP

SEC Modernizes Business, Legal and Risk Factor Disclosure Items of Regulations S-K
September 01, 2020
LEGAL ALERTS/ARTICLES
Law Firm: Phillips Nizer LLP

Prepping for SEC Reg BI Exams: What ‘Good-Faith’ Compliance Efforts Look Like
August 31, 2020
LEGAL ALERTS/ARTICLES
Author: Rebecca A. Beers
Law Firm: Rumberger, Kirk & Caldwell Professional Association

Fifth Circuit Affirms Dismissal of Section 14(a) Complaint For Failure to Plead Facts Demonstrating Alleged Omissions from Proxy Statement Were Misleading
August 25, 2020
LEGAL ALERTS/ARTICLES
Author: Jason Christopher Hoggan
Law Firm: Sheppard Mullin

Ninth Circuit Reverses SEC Disgorgement Award and Remands in First Decision Post-Liu
August 20, 2020
LEGAL ALERTS/ARTICLES
Author: Christopher J. Bosch
Law Firm: Sheppard Mullin

FINRA Fines Suntrust for Leveraged and Inverse ETF Sales
August 18, 2020
LEGAL ALERTS/ARTICLES
Law Firm: Greco & Greco, P.C., Securities Fraud Attorneys

FINRA’s Code of Arbitration Procedure for Industry Disputes
August 15, 2020
LEGAL ALERTS/ARTICLES
Author: Joseph Maya
Law Firm: Maya Murphy, P.C.

Amendments to SEC Accredited Investor Definition
August 01, 2020
LEGAL ALERTS/ARTICLES
Law Firm: Phillips Nizer LLP

SEC Adopts Final Amendments to Proxy Rules on Proxy Voting Advice
July 30, 2020
LEGAL ALERTS/ARTICLES
Law Firm: Duane Morris LLP

Derivatives Market in Italy
July 18, 2020
PRESENTATIONS
Author: Francesco Misuraca
Law Firm: SMAF & Associates

SEC Issues New MD&A Guidance Regarding COVID-19
July 14, 2020
LEGAL ALERTS/ARTICLES
Author: Robert Wernli, Jr.
Law Firm: Sheppard Mullin

Hedge Fund Preparation and Launching Process
July 06, 2020
WHITE PAPERS
Law Firm: CBIG Law

D.C. Circuit Rejects SEC’s Program Testing Exchange Fees and Rebates
June 30, 2020
LEGAL ALERTS/ARTICLES
Law Firm: Sheppard Mullin

Supreme Court Limits the SEC’s Ability to Obtain Disgorgement of Revenues
June 29, 2020
LEGAL ALERTS/ARTICLES
Author: Scott Allen Shaffer
Law Firm: Olshan Frome Wolosky LLP

Supreme Court Preserves But Limits SEC Disgorgement Power
June 29, 2020
LEGAL ALERTS/ARTICLES
Author: Christopher J. Bosch
Law Firm: Sheppard Mullin

DC Circuit Repudiates SEC Program for Testing Exchange Fee Structures
June 26, 2020
LEGAL ALERTS/ARTICLES
Law Firm: Sheppard Mullin

FINRA and the SEC Respond to COVID-19
June 17, 2020
LEGAL ALERTS/ARTICLES
Author: Samuel E. Cohen, Ryan P. Friel
Law Firm: Marshall Dennehey, Marshall Dennehey

Negotiating Loan Documents for Borrowers – Part V
June 16, 2020
LEGAL ALERTS/ARTICLES
Author: Jason Stuart Saltsberg
Law Firm: Olshan Frome Wolosky LLP

SEC Awards Record Payout of Nearly $50 Million to Whistleblower
June 16, 2020
LEGAL ALERTS/ARTICLES
Author: Barbara J. Dawson
Law Firm: Snell & Wilmer L.L.P.

Controversy As IIROC Proposes Merger With MFDA
June 10, 2020
LEGAL ALERTS/ARTICLES
Author: Kenneth A. Dekker
Law Firm: Affleck Greene McMurtry LLP

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