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Securities Articles - Page 21

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ARTICLES(2,436)

D.C. Circuit Holds “Boilerplate” Forward-Looking Statements Are Not Entitled to PSLRA’s “Safe Harbor”
August 10, 2015
LEGAL ALERTS/ARTICLES
Author: Joel Rothman
Law Firm: Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.

SEC Finalizes the CEO Pay Ratio Rule - Additional Executive Compensation Disclosure for Public Companies Beginning in 2017
August 10, 2015
LEGAL ALERTS/ARTICLES
Law Firm: Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.

Update on Dodd-Frank Compensation-Related Rulemaking
August 07, 2015
LEGAL ALERTS/ARTICLES
Author: Kelly Conway Simoneaux, Hope Marie Spencer
Law Firm: Jones Walker LLP, Jones Walker LLP

CFTC and NFA Afford Relief from Certain CTA Periodic Reporting Obligations
August 07, 2015
LEGAL ALERTS/ARTICLES
Author: Brian G. Barrett, James M. Cain, Daphne G. Frydman, David Tilton McIndoe, Mark David Sherrill
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

SEC Publishes Concept Release on Audit Committee Disclosures
August 03, 2015
LEGAL ALERTS/ARTICLES
Author: J Andrew Gipson
Law Firm: Jones Walker LLP

Compliance Date for Ban on Third-Party Solicitation Extended
July 31, 2015
LEGAL ALERTS/ARTICLES
Law Firm: Morrison Cohen LLP

Disclosure Watch: CSA Increases Number of Continuous Disclosure Reviews
July 29, 2015
LEGAL ALERTS/ARTICLES
Author: David Patrick Badour, Leila Rafi, Sonia J. Struthers
Law Firm: McCarthy Tétrault LLP, McCarthy Tétrault LLP, McCarthy Tétrault LLP

Changes to the Venture Issuer Rules
July 24, 2015
LEGAL ALERTS/ARTICLES
Author: Rebecca Kabaca
Law Firm: Aird & Berlis LLP

Adviser Liable for Causing Prime Brokers’ Books and Records Violations
July 21, 2015
LEGAL ALERTS/ARTICLES
Law Firm: Eversheds Sutherland (US) LLP

SEC Issues Investor Alerts
July 15, 2015
LEGAL ALERTS/ARTICLES
Law Firm: Lowndes, Drosdick, Doster, Kantor & Reed Professional Association

CFTC Proposes Framework for Application of Margin Requirements for Uncleared Swaps
July 14, 2015
LEGAL ALERTS/ARTICLES
Law Firm: Eversheds Sutherland (US) LLP

Private Placements, Canadian Wrappers and Exempt Market Dealer Restrictions
July 14, 2015
LEGAL ALERTS/ARTICLES
Author: Michael Burns, Ronald M. Kosonic
Law Firm: Borden Ladner Gervais LLP

Regulation A+ Takes Effect
July 14, 2015
LEGAL ALERTS/ARTICLES
Author: Robert Thomas Clarkson
Law Firm: Jones Day

Happy Public Float Day!
July 13, 2015
LEGAL ALERTS/ARTICLES
Law Firm: Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.

Investors That Agree to Rely on Their Own Due Diligence May Be Held to That Promise
July 13, 2015
LEGAL ALERTS/ARTICLES
Author: John F. Nucci
Law Firm: Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.

Recent SEC Action Against Luca Funds Highlights Perils of EB-5 Deals for Investors
July 13, 2015
LEGAL ALERTS/ARTICLES
Law Firm: Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.

SEC Proposes Controversial Rule Requiring Companies to Adopt No-Fault Clawback Policies
July 13, 2015
LEGAL ALERTS/ARTICLES
Author: Peter J. Anderson, Maia Cogen, Olga Greenberg, W. Scott Sorrels
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

Fund Manager Settles SEC Claim for Misallocation of “Broken Deal” Expenses
July 10, 2015
LEGAL ALERTS/ARTICLES
Law Firm: Morrison Cohen LLP

Major Changes to Canadian Capital Raising Exemptions
July 10, 2015
LEGAL ALERTS/ARTICLES
Author: Mathew Goldstein, Matthew V. Liberatore
Law Firm: Aird & Berlis LLP

SEC charges "Which EB-5" owners with securities law violations
July 07, 2015
LEGAL ALERTS/ARTICLES
Law Firm: Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.

The Consequences of Waiving the Attorney-Client Privilege
July 03, 2015
LEGAL ALERTS/ARTICLES
Author: John F. Nucci
Law Firm: Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.

Private Equity Fund Adviser Charged with Misallocating Broken-Deal Expenses
July 02, 2015
LEGAL ALERTS/ARTICLES
Law Firm: Eversheds Sutherland (US) LLP

Forging Ahead on Multiple Fronts: From 'Broken Window' Enforcement to Innovative Technologies, the SEC Pursues Several Strategic Initiatives Amid Fractured Leadership
July 01, 2015
LEGAL ALERTS/ARTICLES
Author: Abe Alexander
Law Firm: Bernstein Litowitz Berger & Grossmann LLP

Federal Court Rules That SEC Administrative Proceeding Is “Likely Unconstitutional”
June 29, 2015
LEGAL ALERTS/ARTICLES
Law Firm: Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.

Massachusetts Supreme Judicial Court Takes Expansive View of Investment Advisor’s Liability Under Blue Sky Law in Hays v. Ellrich
June 29, 2015
LEGAL ALERTS/ARTICLES
Author: Josh Browning, A.W. Chip Phinney
Law Firm: Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.

Regulation A+ Goes Effective Today
June 29, 2015
LEGAL ALERTS/ARTICLES
Law Firm: Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.

Women’s 100 Securities Conference - Thanks to Broc Romanek
June 29, 2015
LEGAL ALERTS/ARTICLES
Law Firm: Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.

Department of Justice Best Practices on Cybersecurity: Guidance for Smaller Organizations
June 25, 2015
LEGAL ALERTS/ARTICLES
Author: William Lee Roberts
Law Firm: Preti, Flaherty, Beliveau & Pachios, LLP

Deal or No Deal: 7 Lessons From a Lawyer Who’s Been There
June 24, 2015
LEGAL ALERTS/ARTICLES
Author: Tray Hairston
Law Firm: Butler Snow LLP

Limited Crowdfunding Exemption Implemented in Six Provinces
June 24, 2015
LEGAL ALERTS/ARTICLES
Author: Dirk Bouwer, Michael A. Gerrior, Robert P. Kinghan, Lorraine Mastersmith
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.

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