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Securities Articles - Page 25

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ARTICLES(2,436)

Poison Pills are Dead ... or Are They?
April 09, 2015
LEGAL ALERTS/ARTICLES
Author: Gordon G. Raman
Law Firm: Borden Ladner Gervais LLP

SEC Reminds the Fund Industry that Gifts May Violate the 1940 Act, Not Just the Code of Ethics
April 09, 2015
LEGAL ALERTS/ARTICLES
Author: Richard M. Cutshall, Arthur Don
Law Firm: Greenberg Traurig, LLP, Greenberg Traurig, LLP

OSC Offers Amnesty on Delinquent Outside Business Activity (“OBA”) Submissions
April 08, 2015
LEGAL ALERTS/ARTICLES
Author: Cristian O. Blidariu, Sean D. Sadler
Law Firm: McCarthy Tétrault LLP, McCarthy Tétrault LLP

Changes to TSX Personal Information Form Come into Effect February 1st
April 07, 2015
LEGAL ALERTS/ARTICLES
Author: Sharon Kretchmar
Law Firm: McCarthy Tétrault LLP

SEC on the Prowl for Retaliation Actions: Are You Protected or Prepared To Defend?
April 07, 2015
LEGAL ALERTS/ARTICLES
Author: Laurel Brandstetter
Law Firm: Leech Tishman

NYDFS to Collect Data on Cyber Security, but Could Hackers Use This Database as a Road Map to Launch Targeted Attacks?
April 06, 2015
LEGAL ALERTS/ARTICLES
Author: Jonathan L. Bing, Melissa K. Ventrone
Law Firm: Wilson Elser

Update on Cybersecurity Issues - New York Section 308 Letter & NAIC Spring National Meeting
April 06, 2015
LEGAL ALERTS/ARTICLES
Author: Ellen M. Dunn, Daniel Edward Frank, Mark D Herlach, John Sanders Pruitt, Stephen E Roth
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

OSC Accepts Circumstantial Evidence of Tipping and Insider Trading in Important New Decision
April 02, 2015
LEGAL ALERTS/ARTICLES
Author: Shane C. D'Souza, Rene R. Sorell
Law Firm: McCarthy Tétrault LLP, McCarthy Tétrault LLP

Proposed New Regulatory Landscape for Proprietary Trading Firms
April 02, 2015
LEGAL ALERTS/ARTICLES
Law Firm: Duane Morris LLP

Foreign Corrupt Practices Act Alert: Goodyear Agrees to Pay More Than $16 Million to Settle SEC Charges of FCPA Violations Relating to Bribes Paid in Kenya and Angola
April 01, 2015
LEGAL ALERTS/ARTICLES
Author: Nicolas Marc Bourtin, Justin James Decamp, Theodore Edelman, Robert J. Giuffra, John L. Hardiman
Law Firm: Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP

The Evolving Landscape of Shareholder Activism: Key Developments and Potential Actions
April 01, 2015
LEGAL ALERTS/ARTICLES
Author: Francis Joseph Aquila, Walter Joseph Clayton, Audra Dawn Cohen, Henry R. Cohen, Robert Wilson Downes
Law Firm: Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP

Considerations in Adopting Proxy Access Bylaws - Update: Including List of Considerations, Summary of Precedents and Sample Bylaw
March 31, 2015
LEGAL ALERTS/ARTICLES
Author: Francis Joseph Aquila, Robert E. Buckholz, Catherine Mary Clarkin, Walter Joseph Clayton, Audra Dawn Cohen
Law Firm: Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP

Recent Developments in BSA/AML: SEC’s Waiver of Rule 506(d) Disqualification for Oppenheimer & Co. Sparks Dissent Among SEC Commissioners
March 27, 2015
LEGAL ALERTS/ARTICLES
Author: Nicolas Marc Bourtin, Henry R. Cohen, Elizabeth T. Davy, Mitchell S. Eitel, Jared M. Fishman
Law Firm: Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP

SEC Gives Insider Outside Bounty for Whistleblowing
March 27, 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 Proposes Disclosure Rules on Hedging Policies: Will Not Affect 2015 Proxy Season; Requires Description of Hedging Policies, Not Specific Transactions
March 27, 2015
LEGAL ALERTS/ARTICLES
Author: Robert E. Buckholz, Catherine Mary Clarkin, Walter Joseph Clayton, Audra Dawn Cohen, Henry R. Cohen
Law Firm: Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP

Beware of Misleading Financial Advisor Credentials
March 26, 2015
LEGAL ALERTS/ARTICLES
Author: John Joseph Cronan, Sigmund David Schutz
Law Firm: Preti, Flaherty, Beliveau & Pachios, LLP, Preti, Flaherty, Beliveau & Pachios, LLP

Crowdfunding -- Less Useful and More Risky?
March 26, 2015
LEGAL ALERTS/ARTICLES
Author: John Joseph Cronan, Sigmund David Schutz
Law Firm: Preti, Flaherty, Beliveau & Pachios, LLP, Preti, Flaherty, Beliveau & Pachios, LLP

Investors Should be Wary of "Happiness Letters"
March 26, 2015
LEGAL ALERTS/ARTICLES
Author: John Joseph Cronan, Sigmund David Schutz
Law Firm: Preti, Flaherty, Beliveau & Pachios, LLP, Preti, Flaherty, Beliveau & Pachios, LLP

Largest One-Time Settlement in Maine History Involving Alleged Unfair Credit Rating Practices
March 26, 2015
LEGAL ALERTS/ARTICLES
Author: John Joseph Cronan, Sigmund David Schutz
Law Firm: Preti, Flaherty, Beliveau & Pachios, LLP, Preti, Flaherty, Beliveau & Pachios, LLP

Less Secrecy, More Transparency in Securities Arbitration!
March 26, 2015
LEGAL ALERTS/ARTICLES
Author: John Joseph Cronan, Sigmund David Schutz
Law Firm: Preti, Flaherty, Beliveau & Pachios, LLP, Preti, Flaherty, Beliveau & Pachios, LLP

Maine Securities Regulator Testifies Before U.S. Senate Committee on Aging; Touts Success of Maine Program to Combat Senior Financial Exploitation
March 26, 2015
LEGAL ALERTS/ARTICLES
Author: John Joseph Cronan, Sigmund David Schutz
Law Firm: Preti, Flaherty, Beliveau & Pachios, LLP, Preti, Flaherty, Beliveau & Pachios, LLP

Private Placements: Retail Broker-Dealers Shape Terms of Placements to Sell More of Them
March 26, 2015
LEGAL ALERTS/ARTICLES
Author: John Joseph Cronan, Sigmund David Schutz
Law Firm: Preti, Flaherty, Beliveau & Pachios, LLP, Preti, Flaherty, Beliveau & Pachios, LLP

White House: "Conflicted Advice Leads to Large and Economically Meaningful Costs for Americans' Retirement Savings."
March 26, 2015
LEGAL ALERTS/ARTICLES
Author: John Joseph Cronan, Sigmund David Schutz
Law Firm: Preti, Flaherty, Beliveau & Pachios, LLP, Preti, Flaherty, Beliveau & Pachios, LLP

SEC Staff To Express No Views On Conflicting Shareholder Proposals Under Rule 14a-8(i)(9)
March 24, 2015
LEGAL ALERTS/ARTICLES
Author: Andrew Steven Kreider, Jason R. Schendel, John D. Tishler
Law Firm: Sheppard Mullin, Sheppard Mullin, Sheppard Mullin

Second Circuit Notes Split with Ninth Circuit Over Whether Failure to Make Adequate Disclosures Under Item 303 of Regulation S-K May Serve as Basis for a Section 10(b) Claim
March 24, 2015
LEGAL ALERTS/ARTICLES
Author: Madalyn Annabel Macarr
Law Firm: Sheppard Mullin

Legal Update for Securities
March 18, 2015
LEGAL ALERTS/ARTICLES
Author: Terrance A. Bostic, Jeffrey J. Chomko, Samuel E. Cohen, Andrew W. Davitt, Denis C. Dice
Law Firm: Marshall Dennehey

New Jersey Becomes Latest State to Mandate Encryption for Health Information
March 16, 2015
LEGAL ALERTS/ARTICLES
Law Firm: Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.

2015 Disclosure Update
March 13, 2015
LEGAL ALERTS/ARTICLES
Author: Colin Cameron-Vendrig, Jason Michael Saltzman
Law Firm: Borden Ladner Gervais LLP, Borden Ladner Gervais LLP

A Pre-answer Motion to Deposit Funds
March 13, 2015
LEGAL ALERTS/ARTICLES
Law Firm: Wilson Elser

Corporate Hacking and the Financial Services Industry
March 13, 2015
LEGAL ALERTS/ARTICLES
Author: Melissa K. Ventrone
Law Firm: Wilson Elser

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