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Securities Articles - Page 30

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ARTICLES(2,436)

Margin Trading and Short Selling on Shanghai Stock Exchange by Foreign Investors
October 06, 2014
LEGAL ALERTS/ARTICLES
Author: Frederick Chang, Yan Li, Jin Wang
Law Firm: Bingham McCutchen LLP, Bingham McCutchen LLP, Bingham McCutchen LLP

Potential Impact of New SEC Rules on Cell Tower Securitizations
October 06, 2014
LEGAL ALERTS/ARTICLES
Author: Michael Saul Gambro, Stuart Nathan Goldstein, Michael Alan McCormack, Frank Polverino, Malcolm Peter Wattman
Law Firm: Cadwalader, Wickersham & Taft LLP, Cadwalader, Wickersham & Taft LLP, Cadwalader, Wickersham & Taft LLP, Cadwalader, Wickersham & Taft LLP, Cadwalader, Wickersham & Taft LLP

Cost of Proposed User Fees by Registered Investment Advisers Further Discussed
October 03, 2014
LEGAL ALERTS/ARTICLES
Author: Peter Dunn Fetzer, Terry Douglas Nelson
Law Firm: Foley & Lardner LLP, Foley & Lardner LLP

Failure to Disclose Conflict of Interest to Clients Results in SEC Enforcement Proceeding Against Registered Investment Adviser
October 03, 2014
LEGAL ALERTS/ARTICLES
Author: Peter Dunn Fetzer, Terry Douglas Nelson
Law Firm: Foley & Lardner LLP, Foley & Lardner LLP

SEC Valuation Guidance for All Funds
October 03, 2014
LEGAL ALERTS/ARTICLES
Author: Peter Dunn Fetzer, Terry Douglas Nelson
Law Firm: Foley & Lardner LLP, Foley & Lardner LLP

Whistle While You Work? The Lack of Consensus Regarding Who Is a Whistleblower Is No Fairy Tale
September 30, 2014
LEGAL ALERTS/ARTICLES
Author: Kerri H. O'Brien
Law Firm: Marshall Dennehey

Tippers and Tippees and Securities Liability
September 29, 2014
LEGAL ALERTS/ARTICLES
Author: David L. Hefflinger
Law Firm: McGrath, North,

Insider Trading: Securities Commission to Think Twice About Excessive Sanctions and Speculation
September 26, 2014
LEGAL ALERTS/ARTICLES
Law Firm: McCarthy Tétrault LLP

Proposed Changes to Takeover Bid Regime in Canada Would Put More Time in the Hands of Target Boards
September 26, 2014
LEGAL ALERTS/ARTICLES
Author: Fraser Bourne, Heidi Gordon, Graham P.C. Gow, Clemens Mayr
Law Firm: McCarthy Tétrault LLP, McCarthy Tétrault LLP, McCarthy Tétrault LLP, McCarthy Tétrault LLP

Shareholder Activism Goes Mainstream - After The Pershing Square Holdings IPO, Shareholder Activism Should Be On Every Corporation’s Radar
September 26, 2014
LEGAL ALERTS/ARTICLES
Author: Matthew E. Lawson, Clarke Ries
Law Firm: McCarthy Tétrault LLP

CFTC Approves Exclusion for Utility Special Entities
September 25, 2014
LEGAL ALERTS/ARTICLES
Law Firm: Eversheds Sutherland (US) LLP

Leveraging Crowdfunding: Adopting the Model at the Enterprise Level
September 25, 2014
LEGAL ALERTS/ARTICLES
Author: Blake Jones, Andrew Charles Parker, Omar Soliman
Law Firm: McCarthy Tétrault LLP, McCarthy Tétrault LLP

Taking A Cue From The SEC: Wall Street Whistleblowers Need Anonymity In Addition To Awards
September 25, 2014
LEGAL ALERTS/ARTICLES
Law Firm: Motley Rice LLC

The New Deal: Hedge Fund Management Fees Are Subject to Social Security Taxes
September 25, 2014
LEGAL ALERTS/ARTICLES
Author: Mark H. Leeds
Law Firm: Mayer Brown LLP

“Inc.” No Longer a Safe Shield - Federal Circuit Greatly Expands Officer/Shareholder Liability Resulting from US Customs Violations
September 25, 2014
LEGAL ALERTS/ARTICLES
Author: Sydney Howard Mintzer, Jing Zhang
Law Firm: Mayer Brown LLP, Mayer Brown LLP

Asset-Backed Securities Disclosure and Regulation: SEC Adopts Revisions to Regulation AB and Other Rules Governing the Offering Process, Disclosure and Reporting for Asset-Backed Securities
September 23, 2014
LEGAL ALERTS/ARTICLES
Law Firm: Sullivan & Cromwell LLP

Insider Trading: In the Matter of Jowdat Waheed and Bruce Walter
September 23, 2014
LEGAL ALERTS/ARTICLES
Author: Gregory Hogan
Law Firm: Cassels Brock & Blackwell LLP

National Instrument 43-101: Part 3 - What Issuers Need to Know About Historical Estimates
September 23, 2014
LEGAL ALERTS/ARTICLES
Author: Gregory Hogan, Alexander Pizale
Law Firm: Cassels Brock & Blackwell LLP, Cassels Brock & Blackwell LLP

OCR Issues Guidance on HIPAA and Same-Sex Marriage
September 23, 2014
LEGAL ALERTS/ARTICLES
Author: Kimberly J. Gold
Law Firm: Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.

Preparing for the 2015 US Proxy and Annual Reporting Season
September 22, 2014
LEGAL ALERTS/ARTICLES
Author: Robert Edward Curley, Lawrence R. Hamilton, Michael L. Hermsen, Laura Diane Richman, David A. Schuette
Law Firm: Mayer Brown LLP, Mayer Brown LLP, Mayer Brown LLP, Mayer Brown LLP, Mayer Brown LLP

Review and Analysis of the US SEC’s Adopted Final Amendments to Regulation AB
September 22, 2014
LEGAL ALERTS/ARTICLES
Author: Amanda Louise Baker, Nathan A. Herbert, Eric Michael Reilly, Jan Carol Stewart
Law Firm: Mayer Brown LLP, Mayer Brown LLP, Mayer Brown LLP, Mayer Brown LLP

SEC Adopts Rule 15Ga-2 and Rule 17g-10 Regarding Disclosure of Third-Party Due Diligence Services Relating to Asset-Backed Securities
September 22, 2014
LEGAL ALERTS/ARTICLES
Author: Haukur Gudmundsson
Law Firm: Mayer Brown LLP

Registration Exemption Available for Southbound Advice of SEC-Registered Advisers Based in Ontario
September 18, 2014
LEGAL ALERTS/ARTICLES
Author: Cristian O. Blidariu, Rene R. Sorell
Law Firm: McCarthy Tétrault LLP, McCarthy Tétrault LLP

Update to New CME Rule on Disruptive Trading Practices Summary Chart
September 18, 2014
LEGAL ALERTS/ARTICLES
Author: Sohair A. Aguirre, Neal E. Kumar, Anthony M. Mansfield, Paul J. Pantano
Law Firm: Cadwalader, Wickersham & Taft LLP

"Pay To Play" Rule Proposed for Municipal Advisors
September 16, 2014
LEGAL ALERTS/ARTICLES
Author: J Andrew Gipson
Law Firm: Jones Walker LLP

CFTC Staff Harmonizes CPO Rules with SEC Rules Amended Following the JOBS Act
September 16, 2014
LEGAL ALERTS/ARTICLES
Law Firm: Eversheds Sutherland (US) LLP

New CME Rule on Disruptive Trading Practices Summary Chart
September 15, 2014
LEGAL ALERTS/ARTICLES
Author: Sohair A. Aguirre, Neal E. Kumar, Anthony M. Mansfield, Paul J. Pantano
Law Firm: Cadwalader, Wickersham & Taft LLP

A Guide to Regulation AB II
September 12, 2014
LEGAL ALERTS/ARTICLES
Author: Charles A. Sweet
Law Firm: Bingham McCutchen LLP

UK, US and Hong Kong Listings - Eligibility and Continuing Obligations
September 12, 2014
LEGAL ALERTS/ARTICLES
Author: Kate Ball-Dodd, Robert Hamill
Law Firm: Mayer Brown International LLP, Mayer Brown International LLP

Underwriter Deadline Nears for Municipal Continuing Disclosure Cooperation Initiative
September 12, 2014
LEGAL ALERTS/ARTICLES
Author: Matthew W. Nichols, Darryl F Smith
Law Firm: Eversheds Sutherland (US) LLP

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