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Securities Articles - Page 5

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ARTICLES(2,436)

A leg up for ETFs - SEC issues final ETF rule
September 30, 2019
LEGAL ALERTS/ARTICLES
Author: Ronald David Coenen, Clifford Evan Kirsch, Meltem Fazilet Kodaman, Ben Tobey Marzouk, Cynthia R. Reyes, Stephen E. Roth, Holly H. Smith, John H, Walsh
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

Foreign Online Trading Platforms Pay Steep Fines To OSC
September 27, 2019
LEGAL ALERTS/ARTICLES
Author: Meredith L. Hayward
Law Firm: Affleck Greene McMurtry LLP

SEC Looks to Modernize Disclosure Approach
September 18, 2019
LEGAL ALERTS/ARTICLES
Author: Jeffrey John Fessler, Alexander T. Yarbrough
Law Firm: Sheppard Mullin

Key Issues for Regulatory Examinations for State-Registered Advisers
September 16, 2019
LEGAL ALERTS/ARTICLES
Author: John P. Quinn
Law Firm: Marshall Dennehey

LIBOR Transition: Wisdom for Global Capital Markets
September 06, 2019
LEGAL ALERTS/ARTICLES
Law Firm: Norris McLaughlin, P.A.

Investor Advisory Committee Recommends SEC Take Immediate Action to Improve U.S. Proxy System
September 01, 2019
LEGAL ALERTS/ARTICLES
Author: Ron S. Berenblat, Andrew M. Freedman, Steven Wolosky
Law Firm: Olshan Frome Wolosky LLP, Olshan Frome Wolosky LLP, Olshan Frome Wolosky LLP

SEC Stresses Attention to LIBOR Transition in Joint Statement
August 30, 2019
LEGAL ALERTS/ARTICLES
Law Firm: Norris McLaughlin, P.A.

Governmental Overreach or Proper Jurisdiction — Defendant Seeks Dismissal of Charges by Arguing Lack of Requisite Nexus to the United States
August 27, 2019
LEGAL ALERTS/ARTICLES
Author: Ginger T. Faulk, Olga Greenberg, Sarah Elizabeth Paul, Ronald W. Zdrojeski
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

The SEC Proposes a Philosophical Shift to Principles-Based Disclosure in Response to Increasingly Irrelevant, Outdated and Immaterial Information in Public Filings
August 27, 2019
LEGAL ALERTS/ARTICLES
Author: Spencer G. Feldman
Law Firm: Olshan Frome Wolosky LLP

How to Steal $10 Billion from Europe
August 19, 2019
LEGAL ALERTS/ARTICLES
Author: J. Scott Maberry
Law Firm: Sheppard Mullin

Duane Morris & Selvam LLP Advises on the Sale of Rs. 4,590 million (US$65 million) of Shares in Affle (India) Limited in an IPO in India and Concurrent Private Placements Outside India
August 15, 2019
LEGAL ALERTS/ARTICLES
Law Firm: Duane Morris LLP

Form SHL
August 09, 2019
LEGAL ALERTS/ARTICLES
Author: Christina Mickelson Hamilton
Law Firm: Shartsis Friese LLP

Lawsuit Seeks Exemption from Broker Registration for Private Placement Finders
August 08, 2019
LEGAL ALERTS/ARTICLES
Law Firm: Duane Morris LLP

New Bill Seeks to Bring Clarity to Insider Trading Law
August 06, 2019
LEGAL ALERTS/ARTICLES
Author: Kate Ross
Law Firm: Sheppard Mullin

SEC/FINRA Joint Statement on Broker-Dealer Custody of Digital Assets
August 02, 2019
LEGAL ALERTS/ARTICLES
Law Firm: Greenberg Traurig, LLP

Corporate Disclosure in the Age of Twitter: Social Media’s Impact on Pension Funds
July 11, 2019
LEGAL ALERTS/ARTICLES
Author: Annie E. Kouba
Law Firm: Motley Rice LLC

SEC Roundup
July 02, 2019
LEGAL ALERTS/ARTICLES
Law Firm: Shulman Rogers, P.A.

SEC Publishes Interpretation of Investment Advisers’ Fiduciary Duty and Adopts Rules and Interpretations for Financial Professionals and their Retail Clients
June 24, 2019
LEGAL ALERTS/ARTICLES
Author: Christina Mickelson Hamilton
Law Firm: Shartsis Friese LLP

Promotional And Problematic Disclosure - By Conor J. Cronin
June 10, 2019
LEGAL ALERTS/ARTICLES
Author: Conor J. Cronin
Law Firm: Perley-Robertson, Hill & McDougall LLP/s.r.l.

Promotional and Problematic Disclosure
June 10, 2019
LEGAL ALERTS/ARTICLES
Law Firm: Perley-Robertson, Hill & McDougall LLP/s.r.l.

The New Swedish Protective Security Act
June 07, 2019
LEGAL ALERTS/ARTICLES
Law Firm: Eversheds Sutherland (US) LLP

Legal Alert: SEC Approves Investment Advice Standard of Conduct Rules
June 05, 2019
LEGAL ALERTS/ARTICLES
Author: Eric A. Arnold, Issa Jesse Hanna, Ben Tobey Marzouk, Holly H. Smith, John H. Walsh
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

SEC Awards Two Financial Industry Wistleblowers $3 Million
June 04, 2019
LEGAL ALERTS/ARTICLES
Law Firm: Motley Rice LLC

Eye-Opening Study on the Use of Boilerplate in IPO Prospectuses Highlights the Real Costs to Issuers and Investors
June 03, 2019
LEGAL ALERTS/ARTICLES
Author: Spencer G. Feldman
Law Firm: Olshan Frome Wolosky LLP

Preemption of state securities laws
June 03, 2019
LEGAL ALERTS/ARTICLES
Author: Wilson Gray Barmeyer, Olga Greenberg, Clifford Evan Kirsch, Michael Bennett Koffler, S. Lawrence Polk, Adam Cross Pollet, Stephen E. Roth, Brian L. Rubin, Sarah Razaq Sallis, Cynthia R. Shoss, W. Mark Smith, Holly H. Smituh, Amber S. Unwala, John H. Walsh
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

New Opt-In Regime for Accredited Investors in Singapore
May 22, 2019
LEGAL ALERTS/ARTICLES
Law Firm: Duane Morris LLP

Illinois Supreme Court Rules Annuities Are Not Securities Under Illinois Securities Act
May 19, 2019
LEGAL ALERTS/ARTICLES
Author: Beth A. Black, Steven M. Malina
Law Firm: Greenberg Traurig, LLP

New Jersey Proposes Fiduciary Duty Rule for Broker/Dealers and Investment Advisors
May 15, 2019
LEGAL ALERTS/ARTICLES
Law Firm: Norris McLaughlin, P.A.

The SEC Warns Prospective Investors to Beware of Claims that the SEC Has Approved a Securities Offering (Because It Hasn’t, Technically)
May 10, 2019
LEGAL ALERTS/ARTICLES
Author: Spencer G. Feldman
Law Firm: Olshan Frome Wolosky LLP

Logic Prevails as the D.C. Circuit Reverses the SEC: An Investment Adviser Cannot Be Negligent and Intentional at the Same Time
May 03, 2019
LEGAL ALERTS/ARTICLES
Law Firm: Snell & Wilmer L.L.P.

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