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Securities Articles - Page 47

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ARTICLES(2,436)

Total Settlement of FCPA Charges
June 14, 2013
LEGAL ALERTS/ARTICLES
Author: Cheryl Palmeri
Law Firm: Sheppard Mullin

Broker Associated With Defunct Firm May Compel FINRA Arbitration
June 13, 2013
LEGAL ALERTS/ARTICLES
Author: Edward Francis Donohue, John Tokuyama Meno
Law Firm: Hinshaw & Culbertson LLP, Hinshaw & Culbertson LLP

Canadian Mutual Funds Obtain Relief to Clear Swaps as Mandated by CFTC
June 13, 2013
LEGAL ALERTS/ARTICLES
Author: Carol E. Derk
Law Firm: Borden Ladner Gervais LLP

New Canadian Marketing Rules for Prospectus Offerings
June 13, 2013
LEGAL ALERTS/ARTICLES
Author: Pascal de Guise, Graeme D. Martindale, Yaniv Saragosti, David Surat
Law Firm: Borden Ladner Gervais LLP, Borden Ladner Gervais LLP, Borden Ladner Gervais LLP

SEC Proposes Money Market Fund Reform
June 13, 2013
LEGAL ALERTS/ARTICLES
Author: Lea Anne Copenhefer, Barry N. Hurwitz, Roger P. Joseph, Matthew Prasse, Mari Wilson
Law Firm: Bingham McCutchen LLP

Cross-Border Security-Based Swaps: SEC Releases Proposed Rules and Guidance on Cross-Border Security-Based Swaps
June 11, 2013
LEGAL ALERTS/ARTICLES
Law Firm: Sullivan & Cromwell LLP

AIFMD - Guidelines on AIFMD Reporting Obligations
June 10, 2013
LEGAL ALERTS/ARTICLES
Author: Matthew Feargrieve, David Scott Guin, Kirsten Lapham
Law Firm: Withers Bergman LLP

Money Market Mutual Funds: Securities and Exchange Commission Voted Unanimously to Propose Money Market Funds Reforms
June 10, 2013
LEGAL ALERTS/ARTICLES
Law Firm: Sullivan & Cromwell LLP

FINRA Proposes Discovery Guide Amendments Concerning E-Discovery, Product Cases, And Document Search Affirmations
June 07, 2013
LEGAL ALERTS/ARTICLES
Author: Matthew C. Applebaum, John R. Snyder
Law Firm: Bingham McCutchen LLP

In re MFW Shareholders Litigation: Controlling Stockholder’s Upfront Commitment to Both Approval by Special Committee and Majority-of-the-Minority Vote Warrants Business Judgment Rule Standard of Review For Freeze-Out Mergers
June 06, 2013
LEGAL ALERTS/ARTICLES
Law Firm: Sullivan & Cromwell LLP

NYSE Listing Process: NYSE Proposes to Streamline Listing Application Materials and Processes
June 06, 2013
LEGAL ALERTS/ARTICLES
Law Firm: Sullivan & Cromwell LLP

SEC Staff Guidance on Conflict Minerals and Resource Payments Disclosure: Guidance Addresses Various Questions, Including Application of Rules to Holding Companies and Service Providers, But Significant Issuer Judgment Will Continue to be Required; Clarifies That Form S-3 and F-3 Eligibility Is Not Impacted by Failure to Timely File Form SD
June 06, 2013
LEGAL ALERTS/ARTICLES
Law Firm: Sullivan & Cromwell LLP

Father and Son Charged by SEC With Cherry Picking Over the Interests of Clients
June 05, 2013
LEGAL ALERTS/ARTICLES
Author: Michael G. Dana, Peter Dunn Fetzer, Terry Douglas Nelson
Law Firm: Foley & Lardner LLP, Foley & Lardner LLP

Fund Manager Agrees to Be Barred From the Securities Industry in Connection With Misappropriating Fund Assets
June 05, 2013
LEGAL ALERTS/ARTICLES
Author: Michael G. Dana, Peter Dunn Fetzer, Terry Douglas Nelson
Law Firm: Foley & Lardner LLP, Foley & Lardner LLP

Investment Management Guidance on Social Media Filings
June 05, 2013
LEGAL ALERTS/ARTICLES
Author: Michael G. Dana, Peter Dunn Fetzer, Terry Douglas Nelson
Law Firm: Foley & Lardner LLP, Foley & Lardner LLP

Key Developments in Canadian Securities Regulation for the Investment Management Industry
June 05, 2013
LEGAL ALERTS/ARTICLES
Author: Rebecca A. Cowdery, Marsha Gerhart
Law Firm: Borden Ladner Gervais LLP

Board Oversight of Distribution and Financial Intermediaries
June 04, 2013
LEGAL ALERTS/ARTICLES
Author: Michael G. Dana, Peter Dunn Fetzer, Terry Douglas Nelson
Law Firm: Foley & Lardner LLP, Foley & Lardner LLP

FINRA Rule 12206: Statute of Repose or Statute of Limitation?
June 04, 2013
LEGAL ALERTS/ARTICLES
Author: Brian J. Sommer
Law Firm: Meyer, Unkovic & Scott LLP

New Identity Theft Rules
June 04, 2013
LEGAL ALERTS/ARTICLES
Author: Michael G. Dana, Peter Dunn Fetzer, Terry Douglas Nelson
Law Firm: Foley & Lardner LLP, Foley & Lardner LLP

A Critical Assessment of CSA Consultation Paper 91-407-Derivatives: Registration
May 31, 2013
LEGAL ALERTS/ARTICLES
Law Firm: Dentons Canada LLP

Dissident Shareholder Nominee Compensatory Arrangements; Bylaw Amendments
May 31, 2013
LEGAL ALERTS/ARTICLES
Law Firm: Jones Walker LLP

Legal Ruling on Goodwill
May 31, 2013
LEGAL ALERTS/ARTICLES
Law Firm: Fernandes, Figueiredo Advogados

Ontario Securities Commission Publishes Proposed Amendments Related to Disclosure Required for Foreign Offerings
May 31, 2013
LEGAL ALERTS/ARTICLES
Law Firm: Dentons Canada LLP

Compensation Committee and Compensation Committee Advisers Listing Standards
May 29, 2013
LEGAL ALERTS/ARTICLES
Author: Blake Austin Clardy, William Bruce Newsome
Law Firm: Haynes and Boone, LLP, Haynes and Boone, LLP

Departing Investment Advisors: An Update Since the Supreme Court's Decision in RBC v. Merrill Lynch
May 29, 2013
LEGAL ALERTS/ARTICLES
Author: James J. Heelan, Mathieu J. LaFleche
Law Firm: Bennett Jones LLP, Bennett Jones LLP

2013 Ontario Budget: Capital Markets Essentials
May 27, 2013
LEGAL ALERTS/ARTICLES
Author: Wayne T. Egan, Kim Lawton, R. Ian Mitchell, Steven Rukavina
Law Firm: Weirfoulds LLP, Weirfoulds LLP, Weirfoulds LLP

LPL Financial: Off with their heads!
May 27, 2013
LEGAL ALERTS/ARTICLES
Law Firm: The Law Offices of Roger D. Wiegley

Crowdfunding Renewable Energy Projects in Early Stages and Growing in the U.S.
May 24, 2013
LEGAL ALERTS/ARTICLES
Author: Laura J. Neumeister
Law Firm: Foley & Lardner LLP

Virginia’s New Custody Rule: Significant New Requirements for Advisor-Managed Private Funds
May 23, 2013
LEGAL ALERTS/ARTICLES
Author: Stephen Brian Farmer, Benjamin G. Thompson
Law Firm: Hirschler Fleischer A Professional Corporation

CFA Confirms SFC's Broad Powers on behalf of Victims of Market Misconduct
May 22, 2013
LEGAL ALERTS/ARTICLES
Author: Wilson Y.W. Fung, Susanne J. Harris
Law Firm: Mayer Brown JSM, Mayer Brown JSM

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