Securities Articles - Page 38
ARTICLES(2,436)
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M&A Brokers Update
- February 18, 2014
- LEGAL ALERTS/ARTICLES
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The SEC’s Municipal Advisor Rule Will Prompt New Practices for Market Participants
- February 17, 2014
- LEGAL ALERTS/ARTICLES
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SEC’s Strategic Plan Includes Reliance On Whistleblower Tips
- February 14, 2014
- LEGAL ALERTS/ARTICLES
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The Final Word (Again?) On Limitation Periods for Securities Class Actions
- February 14, 2014
- LEGAL ALERTS/ARTICLES
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Ontario Superior Court of Justice Upholds Corporate Response to Dissident Press Release
- February 13, 2014
- LEGAL ALERTS/ARTICLES
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M&A Brokers Exempt from SEC Broker-Dealer Registration Requirements
- February 12, 2014
- LEGAL ALERTS/ARTICLES
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National Instrument 43-101: Part 1 - What Issuers Need to Know About the Application of the Instrument
- February 11, 2014
- LEGAL ALERTS/ARTICLES
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SEC Issues No-Action Letter Regarding Broker-Dealer Registration Status of M&A Brokers
- February 11, 2014
- LEGAL ALERTS/ARTICLES
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Sneaking and Peeking: The Future of Securities Investigation Has Arrived
- February 11, 2014
- LEGAL ALERTS/ARTICLES
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2014 Proxy Season Developments: SEC Staff Issues Guidance on Unbundling Proposals; ISS Addresses Third-Party Director Compensation, Publishes Updated QuickScore Metrics, Opens Data Verification Period, Requests Comments for Longer-Term Policy Changes, and Issues Other New Policies
- February 10, 2014
- LEGAL ALERTS/ARTICLES
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Adequacy of Due Diligence of Investment Advisers Recommending Alternative Investments and Their Managers
- February 07, 2014
- LEGAL ALERTS/ARTICLES
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SEC and Deloitte China Affiliate Resolve Subpoena Enforcement Action
- February 06, 2014
- LEGAL ALERTS/ARTICLES
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Due Diligence Requirements of Investment Advisers Prior to Recommending Alternative Investments
- February 05, 2014
- LEGAL ALERTS/ARTICLES
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EU Derivatives Reporting Obligations Clarified as February 12 Deadline Approaches
- February 05, 2014
- LEGAL ALERTS/ARTICLES
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SEC Initiates Enforcement Action Against Hedge Fund Adviser
- February 05, 2014
- LEGAL ALERTS/ARTICLES
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SEC’s Examination Program Issues a Risk Alert on Investment Adviser Due Diligence Processes
- February 05, 2014
- LEGAL ALERTS/ARTICLES
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Sub-Advisory Arrangements Under Scrutiny
- February 05, 2014
- LEGAL ALERTS/ARTICLES
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The SEC's First Deferred Prosecution Agreement Involving an Individual: Questions Remain
- February 05, 2014
- LEGAL ALERTS/ARTICLES
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CSA Proposes Changes to Registrant Regulation
- February 03, 2014
- LEGAL ALERTS/ARTICLES
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CSA Staff Notice 31-336 - Guidance on Know-Your-Client (“KYC”), Know-Your-Product (“KYP”) and Suitability Obligations
- February 03, 2014
- LEGAL ALERTS/ARTICLES
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Commodity Pool Operators and Commodity Trading Advisors: Are Enhanced Customer Protections on the Horizon?
- February 03, 2014
- LEGAL ALERTS/ARTICLES
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New Exemption for Distributions to Existing Security Holders Proposed (but not in Ontario)
- February 03, 2014
- LEGAL ALERTS/ARTICLES
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OSC Provides Update on its Exempt Market Review
- February 03, 2014
- LEGAL ALERTS/ARTICLES
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OSC Staff Reviews Use of Non-GAAP and Additional GAAP Measures
- February 03, 2014
- LEGAL ALERTS/ARTICLES
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SEC to Consider Adopting Regulation AB II on February 5
- February 03, 2014
- LEGAL ALERTS/ARTICLES
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Women on Boards: Proposed Disclosure Requirements
- February 03, 2014
- LEGAL ALERTS/ARTICLES
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CFTC Certifies Additional “Available to Trade” Designation: Certain Interest Rate Swaps Must Be Executed on a SEF or DCM Beginning in February
- January 31, 2014
- LEGAL ALERTS/ARTICLES
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NFA Update: NFA Seeking Comments on Potential CPO/CTA Capital Requirement and Customer Protection Measures
- January 31, 2014
- LEGAL ALERTS/ARTICLES
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OSC Shows Reluctance to Second Guess IIROC Panel in Northern Securities Decision
- January 31, 2014
- LEGAL ALERTS/ARTICLES
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Proposed Rule on Customer Clearing and Protection of Customer Collateral and Positions
- January 31, 2014
- LEGAL ALERTS/ARTICLES