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Securities Articles - Page 33

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ARTICLES(2,436)

SEC Issues "Pay-to-Play" Penalty to Investment Adviser
July 09, 2014
LEGAL ALERTS/ARTICLES
Author: Kirk L. Jowers, Trevor Alexander Mcclurg Potter, Matthew T Sanderson
Law Firm: Caplin & Drysdale, Chartered, Caplin & Drysdale, Chartered

STOCK Act Update: SEC Confirms Criminal and Civil Investigations of Potential STOCK Act Violation; Moves to Enforce Subpoena to Congressional Committee and Staffer
July 09, 2014
LEGAL ALERTS/ARTICLES
Law Firm: Sullivan & Cromwell LLP

Another Court Rules That Dodd-Frank Act Whistleblowers Need Not Disclose Information Directly to the SEC
July 08, 2014
LEGAL ALERTS/ARTICLES
Author: Bryan B. House, Pamela Louise Johnston, Courtney Worcester
Law Firm: Foley & Lardner LLP, Foley & Lardner LLP, Foley & Lardner LLP

Do You Need a Pre-Nup ... for Your Co-Founders?
July 08, 2014
LEGAL ALERTS/ARTICLES
Author: Edouard C. LeFevre
Law Firm: Foley & Lardner LLP

HHS Releases HIPAA Security Risk Assessment Tool
July 08, 2014
LEGAL ALERTS/ARTICLES
Author: Jason Robert Davis, Laura Dickson Rixey
Law Firm: Kaufman & Canoles A Professional Corporation, Kaufman & Canoles A Professional Corporation

Investment Advisers’ Affiliation Leads to Violation of Investment Adviser Registration Requirements
July 08, 2014
LEGAL ALERTS/ARTICLES
Author: Peter Dunn Fetzer, Terry Douglas Nelson
Law Firm: Foley & Lardner LLP, Foley & Lardner LLP

Know Your Affiliates
July 08, 2014
LEGAL ALERTS/ARTICLES
Author: Peter Dunn Fetzer, Terry Douglas Nelson
Law Firm: Foley & Lardner LLP, Foley & Lardner LLP

Order Issued for Retaliation Against Dodd-Frank Whistleblower
July 08, 2014
LEGAL ALERTS/ARTICLES
Author: Peter Dunn Fetzer, Terry Douglas Nelson
Law Firm: Foley & Lardner LLP, Foley & Lardner LLP

Portfolio Manager Sanctioned for Prohibited Act
July 08, 2014
LEGAL ALERTS/ARTICLES
Author: Peter Dunn Fetzer, Terry Douglas Nelson
Law Firm: Foley & Lardner LLP, Foley & Lardner LLP

Supreme Court Modifies Class Certification Procedure in Securities Fraud Class Actions
July 08, 2014
LEGAL ALERTS/ARTICLES
Author: Pamela G. Smith
Law Firm: Greenberg Traurig, LLP

Florida’s New Data Breach Notification Requirements Take Effect July 1
July 02, 2014
LEGAL ALERTS/ARTICLES
Author: Grant David Petersen
Law Firm: Ogletree, Deakins, Nash, Smoak & Stewart, P.C.

SEC Readies New Guidelines for Proxy Advisers
June 26, 2014
LEGAL ALERTS/ARTICLES
Author: Chauncey Marcus Lane
Law Firm: Husch Blackwell LLP

Has the Second Circuit Mandated a Rubber Stamp Approval System for SEC Consent Decrees?
June 25, 2014
LEGAL ALERTS/ARTICLES
Author: Sally Ann Clements, Suzanne Cocco Midlige
Law Firm: Coughlin Duffy LLP, Coughlin Duffy LLP

SEC Currently Examining Potential Changes To “Accredited Investor” Definition
June 25, 2014
LEGAL ALERTS/ARTICLES
Author: Patrick Strain Convery
Law Firm: Giordano, Halleran & Ciesla A Professional Corporation

Alabama is No Sweet Home for Vacating Arbitration Awards
June 24, 2014
LEGAL ALERTS/ARTICLES
Law Firm: Greenberg Traurig, LLP

Cross-Border Securities Enforcement: OSC Affirms Importance of Reciprocal Order Power and Refuses to Stay Enforcement Proceeding Against Conrad Black
June 24, 2014
LEGAL ALERTS/ARTICLES
Author: Wendy Berman, Alec Milne
Law Firm: Cassels Brock & Blackwell LLP

CFTC Division of Market Oversight Releases Questions for June 19 Roundtable on Position Limits
June 23, 2014
LEGAL ALERTS/ARTICLES
Author: James M. Cain, Daphne G. Frydman, David Tilton McIndoe, R. Michael Sweeney
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

Can the OSC’s Public Interest Power Be Used to Expand Insider Trading Liability?
June 20, 2014
LEGAL ALERTS/ARTICLES
Author: Cristian O. Blidariu, Rene R. Sorell
Law Firm: McCarthy Tétrault LLP, McCarthy Tétrault LLP

IIROC Survey Shows Diverse “Best Execution” Practices
June 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

Is a Licensed Securities Dealer A “Professional” Under Alabama Law Prohibiting Enforcement Of Nonsolicitation Agreements Against Professionals?
June 20, 2014
LEGAL ALERTS/ARTICLES
Author: Gerald Palfery Gillespy
Law Firm: Burr & Forman LLP

Regulatory Round-Up on Cybersecurity
June 16, 2014
LEGAL ALERTS/ARTICLES
Author: Katharine F. Musso
Law Firm: Jones Walker LLP

SEC Proposes Securities-Based Swap Recordkeeping, Reporting and Notification Requirements
June 12, 2014
LEGAL ALERTS/ARTICLES
Author: Maureen A. Donley, Elizabeth A. Doyle, W. Graham McCall, Rachel Kaplan Reicher, Mark Young
Law Firm: Skadden, Arps, Slate, Meagher & Flom LLP

CFTC Announces New Approach for Delegation by Commodity Pool Operators
June 11, 2014
LEGAL ALERTS/ARTICLES
Law Firm: Shartsis Friese LLP

Google and the Great Divide: U.S. Privacy Rights versus EU Privacy Rights
June 11, 2014
LEGAL ALERTS/ARTICLES
Author: Anjali Cynthia Das, Alicia A. Garcia, Melissa K. Ventrone
Law Firm: Wilson Elser

More on “Golden Leash” Arrangements: Institutional Investor Organization Urges SEC to Require Disclosure
June 11, 2014
LEGAL ALERTS/ARTICLES
Author: Shane C. D'Souza, Deandra L. Schubert
Law Firm: McCarthy Tétrault LLP, McCarthy Tétrault LLP

SEC Polices Cybersecurity on Wall Street
June 11, 2014
LEGAL ALERTS/ARTICLES
Author: Anjali Cynthia Das
Law Firm: Wilson Elser

Concerns Noted During Private Equity Adviser Exams
June 06, 2014
LEGAL ALERTS/ARTICLES
Author: Peter Dunn Fetzer, Terry Douglas Nelson
Law Firm: Foley & Lardner LLP, Foley & Lardner LLP

Lifetime Bar Affirmed for Failure to Supervise
June 06, 2014
LEGAL ALERTS/ARTICLES
Author: Peter Dunn Fetzer, Terry Douglas Nelson
Law Firm: Foley & Lardner LLP, Foley & Lardner LLP

Registered Investment Adviser Faces Fraud Charges
June 06, 2014
LEGAL ALERTS/ARTICLES
Author: Peter Dunn Fetzer, Terry Douglas Nelson
Law Firm: Foley & Lardner LLP, Foley & Lardner LLP

US Department of Justice Announces New Policy to Record Statements
June 03, 2014
LEGAL ALERTS/ARTICLES
Author: Kelly Bain Kramer, Lori Elaine Lightfoot, Michael Martinez, Lee Howard Rubin
Law Firm: Mayer Brown LLP, Mayer Brown LLP, Mayer Brown LLP, Mayer Brown LLP

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