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Securities Articles - Page 48

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ARTICLES(2,436)

FINRA Issues New Guidance for Broker-Dealer Communications Regarding Real Estate Investments
May 22, 2013
LEGAL ALERTS/ARTICLES
Author: Timothy C. Foley, Amy Natterson Kroll, Michael Rammi Weissmann
Law Firm: Bingham McCutchen LLP

Major Changes in Luxembourg Securities Legislation
May 22, 2013
LEGAL ALERTS/ARTICLES
Law Firm: Arendt & Medernach

New SEC Identity Theft Red Flag Regulations Call Attention to Investment Advisers
May 22, 2013
LEGAL ALERTS/ARTICLES
Author: Charles Frederick Hertlein
Law Firm: Dinsmore & Shohl LLP

CFPB Issues Report Regarding the Use of “Senior Specialist” Designations by Financial Advisers; Recommends Increased Supervision and Enforcement “Across Industries”
May 20, 2013
LEGAL ALERTS/ARTICLES
Author: Matthew C. Applebaum, Scott C. Kleekamp
Law Firm: Bingham McCutchen LLP

CFTC Adopts Final Rules for Trading Swaps on Organized Facilities
May 20, 2013
LEGAL ALERTS/ARTICLES
Author: Akshay N. Belani, Alicia Gayle, William R.B. Springer, Joshua Brooks Sterling
Law Firm: Bingham McCutchen LLP

SEC Staff Permits Sponsors to Operate Online Platforms That Facilitate Investments In Early Stage Companies Without Registration As A Broker-Dealer
May 20, 2013
LEGAL ALERTS/ARTICLES
Law Firm: Phillips Nizer LLP

At The Crossroads: Where Does Canada Go With Defensive Tactics?
May 16, 2013
LEGAL ALERTS/ARTICLES
Author: Joan Ruth Beck, Michael Brown, Gregory Hogan, Alexandra Iliopoulos, Jeffrey P. Roy
Law Firm: Cassels Brock & Blackwell LLP, Cassels Brock & Blackwell LLP, Cassels Brock & Blackwell LLP, Cassels Brock & Blackwell LLP, Cassels Brock & Blackwell LLP

Is Crowdfunding Investment Coming to Ontario?
May 16, 2013
LEGAL ALERTS/ARTICLES
Law Firm: Perley-Robertson, Hill & McDougall LLP/s.r.l.

Harrisburg Charged With Securities Fraud
May 15, 2013
LEGAL ALERTS/ARTICLES
Author: Kimberly Aldrich Byrens
Law Firm: Best Best & Krieger LLP

TSX Venture Exchange Implements Amendments to Incentive Stock Option Policy
May 15, 2013
LEGAL ALERTS/ARTICLES
Author: Sherri Altshuler, Melanie Cole
Law Firm: Aird & Berlis LLP, Aird & Berlis LLP

The New Identity Theft Red Flags Rules - Get Ready!
May 15, 2013
LEGAL ALERTS/ARTICLES
Author: James E. Bowers
Law Firm: Day Pitney LLP

CFTC External Business Conduct Standards - Temporary Relief to Foreign Exchange Transactions
May 10, 2013
LEGAL ALERTS/ARTICLES
Author: Eliza Sporn Fromberg, Henry Nelson Massey
Law Firm: Day Pitney LLP, Day Pitney LLP

Caution - Statements by Public Officials May Result in Securities Law Violations
May 10, 2013
LEGAL ALERTS/ARTICLES
Author: Douglas Warner Gillette, Adam M. Kasowitz, Namita Tripathi Shah
Law Firm: Day Pitney LLP, Day Pitney LLP

SEC Counsel Hints That Private Equity Managers Must Register as Broker-Dealers
May 10, 2013
LEGAL ALERTS/ARTICLES
Author: Jessica Robyn Colombo, Matthew Der Manuelian, David Bernardo Lerner, Eric David Young
Law Firm: Morrison Cohen LLP, Morrison Cohen LLP, Morrison Cohen LLP, Morrison Cohen LLP

Ninth Circuit Holds That SEC Rules and Related FINRA Rules Trump State Law
May 09, 2013
LEGAL ALERTS/ARTICLES
Author: Meg Bailey, Michael Rammi Weissmann
Law Firm: Bingham McCutchen LLP

SEC OKs Social Media for Company Announcements; Investors Must be Alerted
May 09, 2013
LEGAL ALERTS/ARTICLES
Law Firm: Loeb & Loeb LLP

Legislature Rewrites Florida LLC Law
May 08, 2013
LEGAL ALERTS/ARTICLES
Author: Gardner Fabian Davis
Law Firm: Foley & Lardner LLP

SEC Issues Proposed Rules on Cross-Border Security-Based Swap Activities
May 08, 2013
LEGAL ALERTS/ARTICLES
Author: Margaret R Blake, Amy Natterson Kroll, Elizabeth Anne Marino
Law Firm: Bingham McCutchen LLP, Bingham McCutchen LLP

Securities and Exchange Commission Gives Guidance to Non-U.S. Broker-Dealers Through Rule 15a-6 FAQs
May 08, 2013
LEGAL ALERTS/ARTICLES
Law Firm: Jones Day

Who Wants to Be a Minority Shareholder of a Delaware Closely-Held Corporation?
May 08, 2013
LEGAL ALERTS/ARTICLES
Author: Peter Mahler
Law Firm: Farrell Fritz, P.C.

Federal Court’s Dismissal of Shareholder Derivative Action Entitled to Preclusive Effect in Courts of Delaware
May 06, 2013
LEGAL ALERTS/ARTICLES
Author: James Timothy Mast, Mary Martin Weeks
Law Firm: Troutman Sanders LLP, Troutman Sanders LLP

SEC Gives Guidance to Non-U.S. Broker-Dealers Through Rule 15a-6 FAQs
May 06, 2013
LEGAL ALERTS/ARTICLES
Law Firm: Jones Day

Exemption From “Wrapper” Requirement for Foreign Offerings Into Canada May now Be Obtained by Exemption Application
May 03, 2013
LEGAL ALERTS/ARTICLES
Law Firm: McCarthy Tétrault LLP

Investment Fund Amendments Would Bring Sweeping Changes to Closed-End Fund Regime
May 03, 2013
LEGAL ALERTS/ARTICLES
Author: Cristian O. Blidariu, Sean D. Sadler
Law Firm: McCarthy Tétrault LLP, McCarthy Tétrault LLP

CFTC Provides Derivatives Prime Brokerage Limited No-action Relief from External Business Conduct Rules
May 02, 2013
LEGAL ALERTS/ARTICLES
Author: Joshua D. Cohn, Curtis Alan Doty
Law Firm: Mayer Brown LLP, Mayer Brown LLP

Legislation Reintroduced to Charge Investment Advisor User Fees
May 02, 2013
LEGAL ALERTS/ARTICLES
Author: Michael G. Dana, Peter Dunn Fetzer, Terry Douglas Nelson
Law Firm: Foley & Lardner LLP, Foley & Lardner LLP

London Stock Exchange Launches High Growth Segment of the Main Market
May 02, 2013
LEGAL ALERTS/ARTICLES
Author: Richard May, Sian Elizabeth Withey
Law Firm: Fried, Frank, Harris, Shriver & Jacobson (London) LLP, Fried, Frank, Harris, Shriver & Jacobson (London) LLP

Misrepresenting AUM Leads to SEC Charges
May 02, 2013
LEGAL ALERTS/ARTICLES
Author: Michael G. Dana, Peter Dunn Fetzer, Terry Douglas Nelson
Law Firm: Foley & Lardner LLP, Foley & Lardner LLP

Recent Developments Spell Relief From FATCA Reporting Requirements for Managers of Certain Offshore Funds
May 02, 2013
LEGAL ALERTS/ARTICLES
Author: Michael G. Dana, Peter Dunn Fetzer, Terry Douglas Nelson
Law Firm: Foley & Lardner LLP, Foley & Lardner LLP

SEC Examination Program for Newly Registered Investment Advisers Reveals Common Areas of Concern
May 02, 2013
LEGAL ALERTS/ARTICLES
Author: Michael G. Dana, Peter Dunn Fetzer, Terry Douglas Nelson
Law Firm: Foley & Lardner LLP, Foley & Lardner LLP

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