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Securities Articles - Page 53

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ARTICLES(2,436)

Insurance Safe Harbor Affords Little Certainty for Non-US Insurers
January 05, 2013
LEGAL ALERTS/ARTICLES
Law Firm: Eversheds Sutherland (US) LLP

New Hong Kong Regime on Obligations of Sponsors
January 05, 2013
LEGAL ALERTS/ARTICLES
Author: Eve Chan, Julian Lin, Christina H. S. Loh, Benedict Tai
Law Firm: Jones Day, Jones Day

United States District Court Holds That Section 11 Claims Attacking Other Than Temporary Impairment Balances Require Pleading Objective and Subjective Falsity
January 03, 2013
LEGAL ALERTS/ARTICLES
Author: Stanley J. Parzen
Law Firm: Mayer Brown LLP

China’s SAFE Relaxes Controls Over Repatriation by QFIIs
January 02, 2013
LEGAL ALERTS/ARTICLES
Author: Brian Downing Beglin, Jin Wang, Xiaowei Ye
Law Firm: Bingham McCutchen LLP, Bingham McCutchen LLP

Other NYSE/NASDAQ Developments
January 02, 2013
LEGAL ALERTS/ARTICLES
Author: Joseph M. Miller
Law Firm: Snell & Wilmer L.L.P.

2013 SEC Filing Deadlines and Financial Statement 'Staleness' Dates
December 28, 2012
LEGAL ALERTS/ARTICLES
Law Firm: Skadden, Arps, Slate, Meagher & Flom LLP

Crowdfunding Remains on Hold until SEC Issues Rules
December 28, 2012
LEGAL ALERTS/ARTICLES
Author: Van R Mayhall
Law Firm: Breazeale, Sachse & Wilson, L.L.P.

SAFE Simplifies Foreign Exchange Controls on Foreign Direct Investment
December 28, 2012
LEGAL ALERTS/ARTICLES
Author: Oak Ma, Christina Zhang
Law Firm: Cooley LLP

Steering Clear of Merit-Based Regulation for Complex Securities Products
December 22, 2012
LEGAL ALERTS/ARTICLES
Author: Michael A. Nagy
Law Firm: Marshall Dennehey

FINRA Issues Additional Guidance on the New Suitability Rule, Clarifying the Scope of Member Firms' and Registered Representatives' Suitability Obligation
December 21, 2012
LEGAL ALERTS/ARTICLES
Author: David J Libowsky
Law Firm: Bressler, Amery & Ross A Professional Corporation

When A Whistleblower Investigation Turns Criminal
December 21, 2012
LEGAL ALERTS/ARTICLES
Author: Mark J. Biros
Law Firm: Proskauer Rose LLP

Adoption of the position of the European Parliament on the MiFID II proposal
December 20, 2012
LEGAL ALERTS/ARTICLES
Law Firm: Arendt & Medernach

ESMA guidelines on ETFs and other UCITS issues: consolidated version and translations published
December 20, 2012
LEGAL ALERTS/ARTICLES
Law Firm: Arendt & Medernach

Final ESMA Guidelines on Repo and Reverse Repo Agreements for UCITS
December 20, 2012
LEGAL ALERTS/ARTICLES
Law Firm: Arendt & Medernach

New SEC Chair: What It May Mean for the Municipal Securities Market
December 20, 2012
LEGAL ALERTS/ARTICLES
Law Firm: Foley & Lardner LLP

SAFE Issues Circulars to Regulate Forex Controls over Foreign Invested Partnerships and Direct Investments
December 20, 2012
LEGAL ALERTS/ARTICLES
Author: Yong Ren, Joyce J. Sun
Law Firm: Mayer Brown LLP

Were Our Predications Correct? Reviewing DOJ’s Guidance Regarding the Foreign Corrupt Practices Act
December 20, 2012
LEGAL ALERTS/ARTICLES
Author: Dan W. Goldfine, Brett W Johnson
Law Firm: Snell & Wilmer L.L.P.

DOJ and SEC Jointly Release Their Resource Guide to the U.S. Foreign Corrupt Practices Act
December 18, 2012
LEGAL ALERTS/ARTICLES
Law Firm: Blaney McMurtry LLP

FCPA “Resource Guide” Released by SEC and DOJ Consistent with Previous Guidance
December 18, 2012
LEGAL ALERTS/ARTICLES
Author: Edward Joseph Fuhr
Law Firm: Hunton Andrews Kurth LLP

CFTC Issues Broader Interpretive Exclusion From Commodity Pool Regulation for Securitizations, and No-Action Advice “Grandfathering” Some Securitizations and Extending Temporary Registration Relief Until March 31, 2013
December 15, 2012
LEGAL ALERTS/ARTICLES
Author: William R.B. Springer, Joshua Brooks Sterling, Charles A. Sweet
Law Firm: Bingham McCutchen LLP

CFTC Update: Funds of Funds and Family Offices No-Action Letters
December 15, 2012
LEGAL ALERTS/ARTICLES
Author: William John Breslin, Walid Anthony Khuri, David S. Mitchell
Law Firm: Fried, Frank, Harris, Shriver & Jacobson LLP, Fried, Frank, Harris, Shriver & Jacobson LLP, Fried, Frank, Harris, Shriver & Jacobson LLP

CFTC No-Action Relief for Funds-of-Funds
December 14, 2012
LEGAL ALERTS/ARTICLES
Author: Samuel A. Jennings, Henry Nelson Massey
Law Firm: Day Pitney LLP

Issuers Operating In Emerging Markets
December 14, 2012
LEGAL ALERTS/ARTICLES
Author: Manoj Pundit, David Surat
Law Firm: Borden Ladner Gervais LLP

Proposed Amendments to the TSX Company Manual - Majority Voting
December 14, 2012
LEGAL ALERTS/ARTICLES
Law Firm: Dentons Canada LLP

SEC Whistleblower Chief: Companies and Their Lawyers Should Not Impede Whistleblowing
December 14, 2012
LEGAL ALERTS/ARTICLES
Author: Lloyd B. Chinn, Rachel S Fischer
Law Firm: Proskauer Rose LLP, Proskauer Rose LLP

2011 Hedge Fund Setup Guide for New York and Beyond-PT. I
December 13, 2012
LEGAL ALERTS/ARTICLES
Author: Simon Jakob Riveles
Law Firm: Wahab & Medenica LLC

2011 Hedge Fund Setup Guide for New York and Beyond-PT. II
December 13, 2012
LEGAL ALERTS/ARTICLES
Author: Simon Jakob Riveles
Law Firm: Wahab & Medenica LLC

Basic Math Skills for a “Preferred Series A” - Financing Round
December 13, 2012
LEGAL ALERTS/ARTICLES
Author: Kaiser Wahab
Law Firm: Wahab & Medenica LLC

Blue Sky Filing Exemption Tip for the New York Business Raising Capital and Everyone Else
December 13, 2012
LEGAL ALERTS/ARTICLES
Author: Kaiser Wahab
Law Firm: Wahab & Medenica LLC

CFTC Releases First Mandatory Clearing Determination
December 13, 2012
LEGAL ALERTS/ARTICLES
Author: Geoffrey F. Aronow, Tabitha Wanjiru Bartholomew, Kenneth A. Kopelman, Joshua Brooks Sterling
Law Firm: Bingham McCutchen LLP, Bingham McCutchen LLP

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