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Securities Articles - Page 32

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ARTICLES(2,436)

Smith & Wesson Holstered by the SEC Over FCPA Violations: Lessons Learned
August 04, 2014
LEGAL ALERTS/ARTICLES
Author: Robert G. Marasco
Law Firm: Procopio, Cory, Hargreaves & Savitch LLP

Will SEC Stick to Its Guns on Reg. A Plus Regulatory Authority?
August 04, 2014
LEGAL ALERTS/ARTICLES
Author: Peter Dunn Fetzer, Terry Douglas Nelson
Law Firm: Foley & Lardner LLP, Foley & Lardner LLP

Renewed Call for Investment Adviser User Fees
August 02, 2014
LEGAL ALERTS/ARTICLES
Author: Peter Dunn Fetzer, Terry Douglas Nelson
Law Firm: Foley & Lardner LLP, Foley & Lardner LLP

SEC Adopts Money Market Fund Reforms
August 02, 2014
LEGAL ALERTS/ARTICLES
Author: Lea Anne Copenhefer, Barry N. Hurwitz, Roger P. Joseph, Christopher D. Menconi, Mari Wilson
Law Firm: Bingham McCutchen LLP

SEC Pulls the Trigger on Smith & Wesson: Anti-Bribery Lessons for Canadian Companies
August 01, 2014
LEGAL ALERTS/ARTICLES
Author: Graham Erion
Law Firm: DLA Piper (Canada) LLP

The International Comparative Legal Guide to Securitisation 2014
August 01, 2014
LEGAL ALERTS/ARTICLES
Author: Novario Asca Hutagalung, Freddy Karyadi
Law Firm: Ali Budiardjo, Nugroho, Reksodiputro (ABNR), Ali Budiardjo, Nugroho, Reksodiputro (ABNR)

Will the new Crowdfunding Exemption Open the Floodgates for Start-up Financing?
August 01, 2014
LEGAL ALERTS/ARTICLES
Author: Lorraine Mastersmith
Law Firm: Perley-Robertson, Hill & McDougall LLP/s.r.l.

New York Proposes “BitLicense” for Virtual Currency Trading
July 28, 2014
LEGAL ALERTS/ARTICLES
Law Firm: Husch Blackwell LLP

Halliburton II: A Triumph for Investors’ Rights and Market Integrity
July 25, 2014
LEGAL ALERTS/ARTICLES
Author: Thomas C. Goldstein
Law Firm: Bernstein Litowitz Berger & Grossmann LLP

ISDA Section 2(a)(iii) Amendment Limits Prerogatives of Non-Defaulting Parties
July 24, 2014
LEGAL ALERTS/ARTICLES
Author: James M. Cain, Daphne G. Frydman, David Tilton McIndoe, Mark David Sherrill, R. Michael Sweeney
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

Consistency among Circuits for Securities Class Certification after the U.S. Supreme Court Halliburton Decision
July 22, 2014
LEGAL ALERTS/ARTICLES
Author: John A. Menicucci
Law Firm: Husch Blackwell LLP

Harmonized Securities Regulation For Canadian Public Investment Funds Finalized With Twists (But There’s More To Come)
July 21, 2014
LEGAL ALERTS/ARTICLES
Author: Rebecca A. Cowdery, Carol E. Derk, K. Ruth Liu, Lynn M. McGrade
Law Firm: Borden Ladner Gervais LLP, Borden Ladner Gervais LLP, Borden Ladner Gervais LLP

The Enforcement Begins: Highlights of the CRTC FAQ Updates on CASL
July 21, 2014
LEGAL ALERTS/ARTICLES
Author: Shana Wolch
Law Firm: McCarthy Tétrault LLP

SEC's MCDC Initiative - The Clock is Ticking
July 18, 2014
LEGAL ALERTS/ARTICLES
Author: David Y. Bannard
Law Firm: Foley & Lardner LLP

Halliburton: Deepening the Divide Between Certification of US and Canadian Securities Class Actions
July 17, 2014
LEGAL ALERTS/ARTICLES
Author: Laurie Baptiste
Law Firm: McCarthy Tétrault LLP

Investment Funds in Panama
July 17, 2014
LEGAL ALERTS/ARTICLES
Author: Ricardo Arias
Law Firm: Morgan & Morgan

Saskatchewan and New Brunswick join Cooperative Capital Markets Regulatory System
July 17, 2014
LEGAL ALERTS/ARTICLES
Author: James Bartlett, Bradley D. Markel, James Tacen McClary, Usman M. Sheikh
Law Firm: Bennett Jones LLP, Bennett Jones LLP, Bennett Jones LLP

Crowdfunding 2.0?
July 15, 2014
LEGAL ALERTS/ARTICLES
Author: John Robert Hempill, Lauren Lewis
Law Firm: Sheppard Mullin

New Municipal Advisor Rules and Continuing Disclosure Initiative
July 15, 2014
LEGAL ALERTS/ARTICLES
Author: Sheila Kles
Law Firm: Shumaker, Loop & Kendrick, LLP

Streamlined Venture Issuer Disclosure?
July 15, 2014
LEGAL ALERTS/ARTICLES
Author: Tiffany Lee Bianchi, 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.

Two More Provinces Join the Cooperative Framework for Canadian National Securities Regulation
July 15, 2014
LEGAL ALERTS/ARTICLES
Author: Cristian O. Blidariu, Krista Lawson, Sean D. Sadler, Rene R. Sorell, Sonia J. Struthers
Law Firm: McCarthy Tétrault LLP, McCarthy Tétrault LLP, McCarthy Tétrault LLP, McCarthy Tétrault LLP

FTC’s Report Provides Recommendations for Data
July 14, 2014
LEGAL ALERTS/ARTICLES
Author: Justin Robert Dickerson, John Nadolenco, Evan Michael Wooten
Law Firm: Mayer Brown LLP, Mayer Brown LLP, Mayer Brown LLP

How to Screw Up Vendor Management (and Live a More Exciting Life)
July 14, 2014
LEGAL ALERTS/ARTICLES
Author: Timothy R. Moore
Law Firm: Spilman Thomas & Battle, PLLC

SEC Division of Investment Management Issues Guidance on Mutual Fund Disclosure
July 14, 2014
LEGAL ALERTS/ARTICLES
Author: Mana Behbin, Michael Glazer
Law Firm: Bingham McCutchen LLP

New Connecticut Pharmacy Rewards Disclosure Bill Took Effect July 1
July 10, 2014
LEGAL ALERTS/ARTICLES
Author: Stephanie D. Willis
Law Firm: Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.

CFTC Announces First Whistleblower Award
July 09, 2014
LEGAL ALERTS/ARTICLES
Author: Bryan B. House, Pamela Louise Johnston, Courtney Worcester
Law Firm: Foley & Lardner LLP, Foley & Lardner LLP, Foley & Lardner LLP

Canadian Derivative Trade Reporting Rules Further Amended
July 09, 2014
LEGAL ALERTS/ARTICLES
Author: Carol E. Derk, Julie Mansi
Law Firm: Borden Ladner Gervais LLP, Borden Ladner Gervais LLP

District Court Distinguishes Lawson v. FMR LLC and Dismisses Complaint
July 09, 2014
LEGAL ALERTS/ARTICLES
Author: Bryan B. House, Pamela Louise Johnston, Courtney Worcester
Law Firm: Foley & Lardner LLP, Foley & Lardner LLP, Foley & Lardner LLP

Fourth Circuit Rules Whistleblower Failed to Show Disclosures Were a Contributing Factor to His Firing
July 09, 2014
LEGAL ALERTS/ARTICLES
Author: Bryan B. House, Pamela Louise Johnston, Courtney Worcester
Law Firm: Foley & Lardner LLP, Foley & Lardner LLP, Foley & Lardner LLP

House Passes CFTC Reauthorization Bill: U.S. House of Representatives Passes the “Customer Protection and End-User Relief Act” That Would Amend Certain Provisions of the Commodity Exchange Act Implemented After Dodd-Frank
July 09, 2014
LEGAL ALERTS/ARTICLES
Law Firm: Sullivan & Cromwell LLP

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