Securities Articles - Page 41
ARTICLES(2,436)
-
Certain Canadian Jurisdictions Contemplating New “Existing Securityholder” Prospectus Exemption for TSXV-Listed Issuers
- November 28, 2013
- LEGAL ALERTS/ARTICLES
-
SEC Enters Into First Deferred Prosecution Agreement with Individual
- November 28, 2013
- LEGAL ALERTS/ARTICLES
-
SEC Proposes New Crowdfunding Rules
- November 28, 2013
- LEGAL ALERTS/ARTICLES
-
Derivatives Product Determination and Trade Reporting Rules - Canadian Securities Regulators Issue Final Rules
- November 27, 2013
- LEGAL ALERTS/ARTICLES
-
SEC Announces First Deferred Prosecution Agreement With An Individual
- November 26, 2013
- LEGAL ALERTS/ARTICLES
-
FINRA Announces Effective Date for Discovery Guide Amendments and Provides Insight on Current Initiatives and Trends in Securities Arbitration
- November 25, 2013
- LEGAL ALERTS/ARTICLES
-
CFTC Proposes Position Limit Aggregation Rules: CFTC Proposes Aggregation Standards Applicable to Position Limits for Derivatives
- November 22, 2013
- LEGAL ALERTS/ARTICLES
-
The Leadership Perspective Roundup with Amanda Lang
- November 22, 2013
- LEGAL ALERTS/ARTICLES
-
Proposed Amendments to National Instrument 51-101
- November 21, 2013
- LEGAL ALERTS/ARTICLES
-
CFTC Proposes New Position Limits and Aggregation Rules for Futures and Swaps
- November 20, 2013
- LEGAL ALERTS/ARTICLES
-
FinCEN Promotes Use of Section 314(b) Safe Harbor to Fight Money Laundering and Terrorist Financing
- November 20, 2013
- LEGAL ALERTS/ARTICLES
-
Raising Capital Through Crowdfunding: The Myth and the Reality
- November 20, 2013
- LEGAL ALERTS/ARTICLES
-
TSX Releases Guidance for Listing Applications and Pre-IPO Options
- November 20, 2013
- LEGAL ALERTS/ARTICLES
-
CFTC Expands Large Trader Reporting and Increases Customer Account Protection Requirements
- November 19, 2013
- LEGAL ALERTS/ARTICLES
-
More Bite, Less Bark at the SEC?: With Fewer No-Admit Settlements, Enforcement May Be Getting New Teeth
- November 18, 2013
- LEGAL ALERTS/ARTICLES
-
SEC Enters First Individual DPA
- November 18, 2013
- LEGAL ALERTS/ARTICLES
-
Better Late than Never...SEC Proposes Rules for Equity-Based Crowdfunding
- November 15, 2013
- LEGAL ALERTS/ARTICLES
-
New CFTC Rules Provide Broad Enhancement of Protections for Customers of FCMs - But at a Cost
- November 15, 2013
- LEGAL ALERTS/ARTICLES
-
Newsflash - EMIR Start of the Reporting Obligation in February 2014
- November 15, 2013
- LEGAL ALERTS/ARTICLES
-
SEC Targets Investment Adviser Community
- November 15, 2013
- LEGAL ALERTS/ARTICLES
-
ESMA Authorises Trade Repositories
- November 13, 2013
- LEGAL ALERTS/ARTICLES
-
ESMA Registers 4 Trade Repositories — Reporting Obligation Will Start on 12 February 2014
- November 13, 2013
- LEGAL ALERTS/ARTICLES
-
More Enforcement Proceedings in the SEC’s Compliance Program Initiative
- November 13, 2013
- LEGAL ALERTS/ARTICLES
-
New Ontario Securities Commission Rule Will Make the Electronic Filing of Certain Documents Mandatory Starting in 2014
- November 13, 2013
- LEGAL ALERTS/ARTICLES
-
Setting the Record Straight On the New General Solicitation Rules
- November 13, 2013
- LEGAL ALERTS/ARTICLES
-
Affiliated Exchange-Traded Funds May Merge
- November 11, 2013
- LEGAL ALERTS/ARTICLES
-
CFTC Approves Position Limits Proposals
- November 11, 2013
- LEGAL ALERTS/ARTICLES
-
New Rules Proposed by PCAOB Include Sweeping Changes for Audit Reports
- November 11, 2013
- LEGAL ALERTS/ARTICLES
-
Proposed SEC Crowdfunding Rules and Related Canadian Developments
- November 11, 2013
- LEGAL ALERTS/ARTICLES
-
Violations of Custody Rule by Advisers Result in SEC Enforcement Actions
- November 11, 2013
- LEGAL ALERTS/ARTICLES