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Securities Articles - Page 24

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ARTICLES(2,436)

SEC Charges Hedge Fund Advisory Firm with Improper Expense Allocations and Violation of the Custody Rule
May 04, 2015
LEGAL ALERTS/ARTICLES
Law Firm: Eversheds Sutherland (US) LLP

SEC Whistleblower Is Second Compliance Officer to Receive Award
May 04, 2015
LEGAL ALERTS/ARTICLES
Author: Thomas R. Bundy, Patricia A Gorham, Cynthia Marie Krus, Allegra J. Lawrence-Hardy
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

SEC Brings First Enforcement Action Targeting Language Contained in Confidentiality Agreements
May 01, 2015
LEGAL ALERTS/ARTICLES
Author: Margaret Hutchins Campbell, Jesse C. Ferrantella
Law Firm: Ogletree, Deakins, Nash, Smoak & Stewart, P.C.

SEC Charge Hedge Fund Advisory Firm with Improper Expense Allocations and Violation of the Custody Rule
May 01, 2015
LEGAL ALERTS/ARTICLES
Law Firm: Eversheds Sutherland (US) LLP

SEC Updates Guidance on Cybersecurity
May 01, 2015
LEGAL ALERTS/ARTICLES
Author: Steven B Boehm, Michael Bennett Koffler, Stephen E Roth, Mary Jane Wilson-Bilik
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

Give and Take: Canadian Securities Regulators Ease Disclosure Burdens on Venture Issuers but Enhance Audit Committee Member Requirements
April 29, 2015
LEGAL ALERTS/ARTICLES
Author: David Bowles, Christian P. Gauthier, Aaron E. Sonshine, Jon C. Truswell
Law Firm: Bennett Jones LLP, Bennett Jones LLP, Bennett Jones LLP

The CSA Announces Proposed Amendments to the Take-Over Bid Regime
April 29, 2015
LEGAL ALERTS/ARTICLES
Author: Eric Chernin, Ted R. Gotlieb, Bradley D. Markel, David A. Spencer
Law Firm: Bennett Jones LLP, Bennett Jones LLP, Bennett Jones LLP, Bennett Jones LLP

Canadian Securities Administrators Publish Comment Letters on Proposed National Policy 25-201 Guidance for Proxy Advisory Firms
April 28, 2015
LEGAL ALERTS/ARTICLES
Author: J. Paul D. Barbeau, Tessa E.J. Guenther, Matthew R. Olson, William S. Osler
Law Firm: Bennett Jones LLP, Bennett Jones LLP, Bennett Jones LLP

SEC Adopts "Regulation A+" Rules
April 27, 2015
LEGAL ALERTS/ARTICLES
Author: Darrick Matthew Mix, Howell J. Reeves, Barry Adam Steinman
Law Firm: Duane Morris LLP, Duane Morris LLP, Duane Morris LLP

CSA Wants Mining Issuers to Remediate Website Disclosure
April 24, 2015
LEGAL ALERTS/ARTICLES
Law Firm: Borden Ladner Gervais LLP

Proposed Amendments to the Rules Regulating Take-Over Bids in Canada
April 24, 2015
LEGAL ALERTS/ARTICLES
Author: Martin E. Kovnats, Jeffrey K. Merk
Law Firm: Aird & Berlis LLP, Aird & Berlis LLP

Reg A+ Changes Finalized
April 24, 2015
LEGAL ALERTS/ARTICLES
Author: Amy Renee Piepmeier
Law Firm: Davis, Brown, Koehn, Shors & Roberts, P.C.

SEC Adopts Final Rules for Regulation A+
April 23, 2015
LEGAL ALERTS/ARTICLES
Author: Howard Jody Bobrow, Kimberly Marie Copp, Robert James Hicks, Bridget Christine Hoffman, George Donald Molinsky
Law Firm: Taft Stettinius & Hollister LLP, Taft, Taft, Taft Stettinius & Hollister LLP, Taft Stettinius & Hollister LLP

Senator Markey’s Report Claims Automobile Security and Privacy Vulnerabilities
April 21, 2015
LEGAL ALERTS/ARTICLES
Author: Robert Hernandez
Law Firm: Clark Hill PLLC

Regulation SCI: Final Rules Relating to the Technology Infrastructure of U.S. Securities Markets: New, Mandatory Regulatory Framework for the Technological Systems of Exchanges, Certain Alternative Trading Systems, Plan Processors and Exempt Clearing Agencies
April 20, 2015
LEGAL ALERTS/ARTICLES
Author: David Jay Gilberg, David B. Harms, Erik D. Lindauer, Kenneth Mark Raisler, Robert Wallace Reeder
Law Firm: Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP

CFTC Issues No-Action Relief for Amended Legacy Swaps between SDs and SPVs
April 17, 2015
LEGAL ALERTS/ARTICLES
Author: Douglas J. Donahue, Ivan B. Loncar, Paul J. Pantano, Nihal Satish Patel
Law Firm: Cadwalader, Wickersham & Taft LLP, Cadwalader, Wickersham & Taft LLP

Supreme Court Clarifies Liability Standard for Opinions Expressed in Registration Statements
April 17, 2015
LEGAL ALERTS/ARTICLES
Author: William Simson Freeman
Law Firm: Jones Day

Supreme Court Issues Guidance on Disclosure of Opinions in Registration Statements
April 17, 2015
LEGAL ALERTS/ARTICLES
Author: Steven M. Malina
Law Firm: Greenberg Traurig, LLP

FDIC Issues FAQs on Brokered Deposits
April 16, 2015
LEGAL ALERTS/ARTICLES
Author: Katharine F. Musso
Law Firm: Jones Walker LLP

MSRB Adopts Qualification Exam Requirement for Municipal Advisor Professionals
April 16, 2015
LEGAL ALERTS/ARTICLES
Author: J Andrew Gipson
Law Firm: Jones Walker LLP

Major Changes to Capital Raising Exemptions in Canada: Is This Good News or Bad News for Issuers?
April 16, 2015
LEGAL ALERTS/ARTICLES
Author: Robert N. Black, Sarah Bode, Don Collie
Law Firm: DLA Piper (Canada) LLP, DLA Piper (Canada) LLP, DLA Piper (Canada) LLP

SEC Committee Considering Updates to Audit Committee Reporting Requirements
April 16, 2015
LEGAL ALERTS/ARTICLES
Author: Peter J. Rivas
Law Firm: Jones Walker LLP

US Securities and Exchange Commission Announces First Whistleblower Protection Case Involving Restrictive Language in Confidentiality Agreements
April 16, 2015
LEGAL ALERTS/ARTICLES
Author: Dana S. Douglas, Marcia E. Goodman, Matthew A Rossi, Gina T. Saviola
Law Firm: Mayer Brown LLP, Mayer Brown LLP, Mayer Brown LLP

Amendments to Take-Over Bid Rules Will Deliver More Support to Boards
April 15, 2015
LEGAL ALERTS/ARTICLES
Author: Graham P.C. Gow, Clemens Mayr, Ian C. Michael
Law Firm: McCarthy Tétrault LLP, McCarthy Tétrault LLP

Canadian Securities Administrators Publish Consultation Paper 92-401 - Derivatives Trading Facilities
April 15, 2015
LEGAL ALERTS/ARTICLES
Author: Christopher Bamford, Candace Pallone, Barry J. Ryan
Law Firm: McCarthy Tétrault LLP, McCarthy Tétrault LLP

US Securities and Exchange Commission Announces 2015 Examination Priorities
April 14, 2015
LEGAL ALERTS/ARTICLES
Author: Rory M. Cohen, Leslie Sperling Cruz, Peter Michael McCamman, Stephanie Melnicove Monaco, Amy Ward Pershkow
Law Firm: Mayer Brown LLP, Mayer Brown LLP, Mayer Brown LLP, Mayer Brown LLP

Securities Liability And Statements Of Opinion
April 13, 2015
LEGAL ALERTS/ARTICLES
Author: David L. Hefflinger
Law Firm: McGrath, North,

Head of Examination Program to Leave SEC
April 10, 2015
LEGAL ALERTS/ARTICLES
Law Firm: Eversheds Sutherland (US) LLP

The SEC Releases Regulations on Reporting and Dissemination of Security-Based Swaps Data
April 10, 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

Better Capital Raising Opportunities for Small Businesses and Start-ups
April 09, 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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