Securities Articles - Page 29
ARTICLES(2,436)
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Rules Requiring Disclosure of Participation of Women on Boards and in Senior Management coming into force December 31, 2014
- December 15, 2014
- LEGAL ALERTS/ARTICLES
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Ten Items to Consider as FINRA’s Consolidated Supervision Rules Take Effect
- December 12, 2014
- LEGAL ALERTS/ARTICLES
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Secure Securitisations in Malta
- December 10, 2014
- LEGAL ALERTS/ARTICLES
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DATA BREACH CASE UPDATE: Shareholder Derivative Suit Dismissed
- November 28, 2014
- LEGAL ALERTS/ARTICLES
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ISS and Glass Lewis Release 2015 Canadian Proxy Voting Guidelines
- November 25, 2014
- LEGAL ALERTS/ARTICLES
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SEC Scrutiny of Crowd investing Sites Not Registered as Broker-Dealers
- November 17, 2014
- LEGAL ALERTS/ARTICLES
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SEC’s Increased Use of Administrative Proceedings Draws Criticism and Legal Challenges
- November 17, 2014
- LEGAL ALERTS/ARTICLES
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The High Cost of Whistleblowing
- November 17, 2014
- LEGAL ALERTS/ARTICLES
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Three Observations From the SEC’s Settlements with Thirteen Municipal Dealers Over Below-Denomination Sales of Puerto Rico Bonds
- November 17, 2014
- LEGAL ALERTS/ARTICLES
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Three Take-Aways from the SEC’s Six-Month Report on Administrative Proceedings
- November 17, 2014
- LEGAL ALERTS/ARTICLES
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Derivatives Reporting Commences in Canada
- November 15, 2014
- LEGAL ALERTS/ARTICLES
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FERC Revokes MBR Authorization of 26 Suppliers for Delinquent EQRs
- November 15, 2014
- LEGAL ALERTS/ARTICLES
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Final Amendments Released for Disclosure Regarding Women on Boards and in Executive Officer Positions
- November 15, 2014
- LEGAL ALERTS/ARTICLES
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Significant Amendments To National Instrument 31-103 Finalized
- November 12, 2014
- LEGAL ALERTS/ARTICLES
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FCC Proposes $10 Million Forfeiture for Privacy Violations
- November 10, 2014
- LEGAL ALERTS/ARTICLES
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“Comply or Explain” Disclosure Regarding Women on Boards and in Senior Management to Apply for the 2015 Proxy Season
- November 10, 2014
- LEGAL ALERTS/ARTICLES
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What Does It Take to Make the SEC Happy? SEC Criticism of Broker-Dealers’ Due Diligence for Sales of Unregistered Securities Leaves More Questions Than Answers
- November 04, 2014
- LEGAL ALERTS/ARTICLES
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CFTC Staff Issues More No-Action Letters to Commodity Pool Operators
- October 31, 2014
- LEGAL ALERTS/ARTICLES
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SEC Provides Guidance on SPVs and Escrows Under the Custody Rule
- October 31, 2014
- LEGAL ALERTS/ARTICLES
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Big Data and Its Implications for Corporate Decision-Making
- October 28, 2014
- LEGAL ALERTS/ARTICLES
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Second Circuit Holds That Dodd-Frank Anti-Retaliation Provisions Do Not Apply Extraterritorially
- October 28, 2014
- LEGAL ALERTS/ARTICLES
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The CSA Proceeds with Amendments to the Early Warning Reporting Regime but Abandons Two Key Proposed Changes
- October 28, 2014
- LEGAL ALERTS/ARTICLES
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US SEC Brings First Enforcement Action For Market Manipulation Through High-Frequency Trading
- October 28, 2014
- LEGAL ALERTS/ARTICLES
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District Court Dismisses State Parties’ Challenge to SEC Rule 206(4)-5
- October 22, 2014
- LEGAL ALERTS/ARTICLES
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Early-Warning Threshold to Remain at 10%
- October 21, 2014
- LEGAL ALERTS/ARTICLES
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Regulators At SIFMA Regional Conference Highlight Regulatory, Litigation And Arbitration Risks
- October 15, 2014
- LEGAL ALERTS/ARTICLES
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Compliance Officers’ Liability
- October 10, 2014
- LEGAL ALERTS/ARTICLES
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The CSA Proposes a New Harmonized Take-Over Bid Approach
- October 09, 2014
- LEGAL ALERTS/ARTICLES
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OSC Second Guesses IIROC on Marc McQuillen Settlement Agreement and Northern Securities Penalties
- October 08, 2014
- LEGAL ALERTS/ARTICLES