Securities Articles - Page 35
ARTICLES(2,436)
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Improper Calculation of Client Advisory Fees Results in Enforcement Action
- May 06, 2014
- LEGAL ALERTS/ARTICLES
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Private Funds to Be Subject of New SEC Dedicated Examination Unit
- May 06, 2014
- LEGAL ALERTS/ARTICLES
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SEC Issues Guidance on Social Media and the Testimonial Rule
- May 06, 2014
- LEGAL ALERTS/ARTICLES
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MSRB Proposes Professional Qualification Requirements for Municipal Advisors
- May 02, 2014
- LEGAL ALERTS/ARTICLES
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CFTC Issues No-Action Relief to Manager of a Collateralized Loan Obligation for Failure to Register as a Commodity Trading Advisor
- April 30, 2014
- LEGAL ALERTS/ARTICLES
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Colombia’s New Law on Security Interest over Movable Assets Comes Into Effect
- April 30, 2014
- LEGAL ALERTS/ARTICLES
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Deadline Approaches for Compliance with European Derivatives Risk Mitigation Measures
- April 30, 2014
- LEGAL ALERTS/ARTICLES
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European Commission Requests Comments on Treatment of Foreign Exchange Instruments Under EMIR
- April 30, 2014
- LEGAL ALERTS/ARTICLES
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FINRA’s Consolidated Supervision Rules and Regulatory Notice 14- 10
- April 30, 2014
- LEGAL ALERTS/ARTICLES
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SEC Issues Risk Alert on Cybersecurity Initiative for Investment Advisers
- April 30, 2014
- LEGAL ALERTS/ARTICLES
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Specific Steps Broker-Dealers and Investment Advisers Should Take in Response to the SEC’s Cybersecurity Initiative
- April 30, 2014
- LEGAL ALERTS/ARTICLES
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TrueCar to Take Its New Approach to Buying and Selling Cars to Wall Street
- April 30, 2014
- LEGAL ALERTS/ARTICLES
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M&A Update: New Rules Will Limit Shareholders’ Tax-Free Treatment on Inversions
- April 29, 2014
- LEGAL ALERTS/ARTICLES
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Better Access to Capital for Listed Issuers? New Prospectus Exemption Proposed
- April 25, 2014
- LEGAL ALERTS/ARTICLES
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Five Takeaways About Cybersecurity From the OCIE Cybersecurity Risk Alert
- April 25, 2014
- LEGAL ALERTS/ARTICLES
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SEC SBSD Recordkeeping and Reporting Proposal
- April 25, 2014
- LEGAL ALERTS/ARTICLES
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No Mere Rubber-Stamp: Ontario Court Challenges the Admissibility of Fairness Opinion in Arrangement Transaction
- April 23, 2014
- LEGAL ALERTS/ARTICLES
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New Registration Requirements and Deadline for PRC Domestic PE Funds and Managers
- April 22, 2014
- LEGAL ALERTS/ARTICLES
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IIROC Updates its Policy Priorities
- April 21, 2014
- LEGAL ALERTS/ARTICLES
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United States Court of Appeals Holds SEC's Rules Regarding Conflict Minerals Violate First Amendment
- April 21, 2014
- LEGAL ALERTS/ARTICLES
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What’s Next for Conflict Minerals Rules After D.C. Circuit Decision?
- April 21, 2014
- LEGAL ALERTS/ARTICLES
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CFTC Regulation 1.35 Recordkeeping Requirements Set to Become Effective on May 1, 2014
- April 16, 2014
- LEGAL ALERTS/ARTICLES
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D.C. Circuit Partially Strikes Down SEC Conflict Minerals Rules
- April 16, 2014
- LEGAL ALERTS/ARTICLES
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Regulators Unveil Shanghai-Hong Kong Cross-Border Stock Trading Plan
- April 16, 2014
- LEGAL ALERTS/ARTICLES
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CFTC Loosens Requirements for Swaps for Utility Special Entities
- April 14, 2014
- LEGAL ALERTS/ARTICLES
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SEC Staff Issues Guidance on Investment Adviser Advertising and Social Media Commentary
- April 11, 2014
- LEGAL ALERTS/ARTICLES
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Four Things You Need to Know About the SEC Roundtable on Cybersecurity
- April 10, 2014
- LEGAL ALERTS/ARTICLES
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Ontario Exempt Market Initiatives Update
- April 10, 2014
- LEGAL ALERTS/ARTICLES
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SEC Enforcement Staff’s Investigations of Financially Stressed Municipal Issuers
- April 10, 2014
- LEGAL ALERTS/ARTICLES