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Securities Articles - Page 31

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ARTICLES(2,436)

SEC Issues Annual Report on Form PF Disclosures
September 11, 2014
LEGAL ALERTS/ARTICLES
Law Firm: Eversheds Sutherland (US) LLP

New Rules for Third-Party Due Diligence Reports for Asset-Backed Securities
September 10, 2014
LEGAL ALERTS/ARTICLES
Law Firm: Cadwalader, Wickersham & Taft LLP

Municipal Continuing Disclosure Cooperative Initiative (MCDC) Update
September 09, 2014
LEGAL ALERTS/ARTICLES
Author: Jacob A. McClellan, Dennis H. Otten
Law Firm: Bose McKinney & Evans LLP, Bose McKinney & Evans LLP

The SEC Tackles Technicality
September 04, 2014
LEGAL ALERTS/ARTICLES
Law Firm: Eversheds Sutherland (US) LLP

Alternative Investment Strategies
September 02, 2014
LEGAL ALERTS/ARTICLES
Author: Peter Dunn Fetzer, Jason Hille, Terry Douglas Nelson
Law Firm: Foley & Lardner LLP, Foley & Lardner LLP, Foley & Lardner LLP

Improving Prospectus Disclosure
September 02, 2014
LEGAL ALERTS/ARTICLES
Author: Peter Dunn Fetzer, Jason Hille, Terry Douglas Nelson
Law Firm: Foley & Lardner LLP, Foley & Lardner LLP, Foley & Lardner LLP

Ontario Court of Appeal Turns Against Cross-Border Securities Class Actions
September 02, 2014
LEGAL ALERTS/ARTICLES
Author: H. Michael Rosenberg, Sapna Thakker
Law Firm: McCarthy Tétrault LLP

Persons Registered as Municipal Advisers Face SEC Examination Program
September 02, 2014
LEGAL ALERTS/ARTICLES
Author: Peter Dunn Fetzer, Jason Hille, Terry Douglas Nelson
Law Firm: Foley & Lardner LLP, Foley & Lardner LLP, Foley & Lardner LLP

“Pay-to-Play” for Investment Advisers: The SEC’s First Prosecution
September 02, 2014
LEGAL ALERTS/ARTICLES
Author: Peter Dunn Fetzer, Jason Hille, Terry Douglas Nelson
Law Firm: Foley & Lardner LLP, Foley & Lardner LLP, Foley & Lardner LLP

SEC Votes to Adopt Regulation AB II, Rules Regarding Third-Party Due Diligence Reports in Connection with Offerings of Asset-Backed Securities
September 01, 2014
LEGAL ALERTS/ARTICLES
Author: Charles A. Sweet
Law Firm: Bingham McCutchen LLP

Florida Legislature Relaxes Agency Licensing Requirements for Broker-Dealer Branch Offices Selling Insurance Products but Creates New Disclosure Requirements for Surrenders
August 27, 2014
LEGAL ALERTS/ARTICLES
Author: Eric A. Arnold, Clifford Evan Kirsch, Michael Bennett Koffler, Susan Schmidt Krawczyk, Holly H Smith
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

SEC Announces Municipal Advisor Examination Initiative
August 26, 2014
LEGAL ALERTS/ARTICLES
Author: Matthew Bobys, Kenneth Gross, Ki Pyo Hong, Melissa Levine Miles, Patricia May Zweibel
Law Firm: Skadden, Arps, Slate, Meagher & Flom LLP, Skadden, Arps, Slate, Meagher & Flom LLP, Skadden, Arps, Slate, Meagher & Flom LLP, Skadden, Arps, Slate, Meagher & Flom LLP, Skadden, Arps, Slate, Meagher & Flom LLP

Time to Leave: Supreme Court to Determine Securities Class Action Limitation Period
August 25, 2014
LEGAL ALERTS/ARTICLES
Author: Elder C. Marques, Michael J.P. O'Brien
Law Firm: McCarthy Tétrault LLP, McCarthy Tétrault LLP

Defeating Class Certification: Halliburton II Ruling Impacts Securities Class Action Issues
August 21, 2014
LEGAL ALERTS/ARTICLES
Author: Turner Anderson Broughton, Lauren Morgan Wheeling
Law Firm: Williams Mullen, Williams Mullen

SEC Approves FINRA Rule to Prohibit Conditioning Settlements on Expungement
August 21, 2014
LEGAL ALERTS/ARTICLES
Author: Dan F. Laney, Brett Allan Rogers, Robert H. "Rob" Snyder, Jeffrey Wright Willis
Law Firm: Rogers & Hardin, Rogers & Hardin, Rogers & Hardin

Canadian Public Company Disclosure Deficiency Rate Nearly Doubled in 2014
August 20, 2014
LEGAL ALERTS/ARTICLES
Author: Cristian O. Blidariu, Michael C. Nicholas, Sean D. Sadler, Rene R. Sorell
Law Firm: McCarthy Tétrault LLP, McCarthy Tétrault LLP, McCarthy Tétrault LLP, McCarthy Tétrault LLP

The Challenge with Determining When the Writing Is On the Wall: Insider Trading Case Considers Materiality of Confidentiality Agreement and Expired Unsolicited Offer
August 20, 2014
LEGAL ALERTS/ARTICLES
Author: Shane C. D'Souza, Rene R. Sorell
Law Firm: McCarthy Tétrault LLP, McCarthy Tétrault LLP

The D.C. Circuit’s en banc opinion in American Meat Institute and the Conflict Minerals Rule
August 18, 2014
LEGAL ALERTS/ARTICLES
Author: Daniel J. Thompson
Law Firm: Husch Blackwell LLP

New Regulation for Private Offerings of Securities
August 14, 2014
LEGAL ALERTS/ARTICLES
Author: Cristián Eyzaguirre, Francisco Ugarte, Salvador Valdés
Law Firm: Carey, Carey, Carey

Second Circuit Draws a Bright-line Rule to Determine Who Is a Customer Under Rule 12200
August 13, 2014
LEGAL ALERTS/ARTICLES
Law Firm: Wilson Elser

SEC Brings First Whistleblower Anti-Retaliation Enforcement Action
August 12, 2014
LEGAL ALERTS/ARTICLES
Author: Margaret Hutchins Campbell, Jesse C. Ferrantella
Law Firm: Ogletree, Deakins, Nash, Smoak & Stewart, P.C.

SEC Waives Whistleblower Eligibility Requirements to Issue $400,000 Award
August 12, 2014
LEGAL ALERTS/ARTICLES
Author: Peter J. Anderson, Eric A. Arnold, Keith J. Barnett, Bruce Michael Bettigole, Thomas R. Bundy
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

SEC Waives “Voluntary” Requirement, Awards $400,000 to Whistleblower
August 11, 2014
LEGAL ALERTS/ARTICLES
Author: Kelly Schulz
Law Firm: Husch Blackwell LLP

The MCDC Initiative and Recent Modifications: Window for Issuers and Obligated Persons Now Closes on December 1, 2014, While Underwriters Window Still Set to Close on September 9, 2014
August 11, 2014
LEGAL ALERTS/ARTICLES
Author: Michael G. Bailey, David Y. Bannard, Laura L. Bilas, Heidi Houghton Jeffery, Chauncey Waldo Lever
Law Firm: Foley & Lardner LLP, Foley & Lardner LLP, Foley & Lardner LLP, Foley & Lardner LLP, Foley & Lardner LLP

MSRB Actions Regarding Municipal Advisors: Release of Revised Draft Rule G-42 for Comment, and Submission of Proposed Rule G-44 to SEC for Approval
August 08, 2014
LEGAL ALERTS/ARTICLES
Author: Matthew Bobys, Kenneth Gross, Ki Pyo Hong, Melissa Levine Miles, Patricia May Zweibel
Law Firm: Skadden, Arps, Slate, Meagher & Flom LLP, Skadden, Arps, Slate, Meagher & Flom LLP, Skadden, Arps, Slate, Meagher & Flom LLP, Skadden, Arps, Slate, Meagher & Flom LLP, Skadden, Arps, Slate, Meagher & Flom LLP

Delay of the Effective Date to the Amendments to the Article 63 Exemption
August 06, 2014
LEGAL ALERTS/ARTICLES
Author: Tomoko Fuminaga, Akihito Miyake, Yoshiyuki Omori, Christopher P. Wells, Koji Yamamoto
Law Firm: Bingham McCutchen LLP

The MCDC Initiative and Recent Modifications: Window for Issuers and Obligated Persons Now Closes on December 1, 2014, While Underwriters Window Still Set to Close on September 9, 2014
August 06, 2014
LEGAL ALERTS/ARTICLES
Author: Michael G. Bailey, David Y. Bannard, Laura L. Bilas, Heidi Houghton Jeffery, Chauncey Waldo Lever
Law Firm: Foley & Lardner LLP, Foley & Lardner LLP, Foley & Lardner LLP, Foley & Lardner LLP, Foley & Lardner LLP

Changes to Auditor Oversight Rules
August 05, 2014
LEGAL ALERTS/ARTICLES
Author: Tiffany Lee Bianchi
Law Firm: Perley-Robertson, Hill & McDougall LLP/s.r.l.

Misusing Client Assets Results in Sanctions Against a Registered Investment Adviser
August 04, 2014
LEGAL ALERTS/ARTICLES
Author: Peter Dunn Fetzer, Terry Douglas Nelson
Law Firm: Foley & Lardner LLP, Foley & Lardner LLP

OCIE Director Repeats Concerns About Compliance Issues Found During Private Equity Adviser Exams
August 04, 2014
LEGAL ALERTS/ARTICLES
Author: Peter Dunn Fetzer, Terry Douglas Nelson
Law Firm: Foley & Lardner LLP, Foley & Lardner LLP

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