Securities Articles - Page 54
ARTICLES(2,436)
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Foreign Corrupt Practices Act Juggernaut Picks up Steam
- December 13, 2012
- LEGAL ALERTS/ARTICLES
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New York Businesses and Others With Employee Incentive Plans, Do You Know Section 409A?
- December 13, 2012
- LEGAL ALERTS/ARTICLES
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SEC Lifts Ban on Use of Derivatives by Actively Managed Exchange Traded Funds
- December 13, 2012
- LEGAL ALERTS/ARTICLES
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CFTC Issues Relief from CPO Registration to Funds of Funds, BDCs and Family Offices; NFA Issues Guidance on the Annual Affirmation Requirement
- December 12, 2012
- LEGAL ALERTS/ARTICLES
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OSC Reports on 2012 Compliance Experience
- December 12, 2012
- LEGAL ALERTS/ARTICLES
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Update on Ontario Securities Commission Staff Notice 51-720 - Issuer Guide for Companies Operating in Emerging Markets
- December 12, 2012
- LEGAL ALERTS/ARTICLES
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Open for Business, But Not for Sale: Canada Announces New Guidelines and Limits for Investments by State-Owned Enterprises
- December 11, 2012
- LEGAL ALERTS/ARTICLES
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CFTC Issues No-Action Relief from Commodity Pool Operator Registration Requirements for Business Development Companies
- December 10, 2012
- LEGAL ALERTS/ARTICLES
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Smaller FCPA Story But We’re Sure You’re Following It: DOJ Issues New Opinion Procedure Releases
- December 10, 2012
- LEGAL ALERTS/ARTICLES
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CFTC Staff Provides Family Offices With No-Action Relief From Commodity Pool Operator Registration
- December 07, 2012
- LEGAL ALERTS/ARTICLES
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Cooperation Arrangement Would Permit Swiss Alternative Investment Funds to Access EU Market
- December 07, 2012
- LEGAL ALERTS/ARTICLES
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SEC Rule 15a-6 Enforcement
- December 07, 2012
- LEGAL ALERTS/ARTICLES
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A Compilation of Enforcement and Non-Enforcement Actions
- December 06, 2012
- LEGAL ALERTS/ARTICLES
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CFTC Issues First Set of Mandatory Clearing Determinations and Time-Limited No-Action Relief
- December 06, 2012
- LEGAL ALERTS/ARTICLES
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NYSE Notice Procedures: NYSE Proposes to Require Electronic Submission of Notices to NYSE Through Web-Based Communication System
- December 06, 2012
- LEGAL ALERTS/ARTICLES
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Foreign Exchange Forwards and Swaps Exempt from CFTC Regulation; CFTC Also Grants Relief to Family Offices and Funds-of-Funds
- December 05, 2012
- LEGAL ALERTS/ARTICLES
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California Choice-of-Law Provision Constitutes Waiver of Federal Arbitration Act
- December 03, 2012
- LEGAL ALERTS/ARTICLES
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SEC Chairman Mary Schapiro Steps Down
- December 03, 2012
- LEGAL ALERTS/ARTICLES
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An Analysis of the FCPA Resource Guide
- November 30, 2012
- LEGAL ALERTS/ARTICLES
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DOJ and SEC Release Much-Anticipated Guidance on FCPA
- November 30, 2012
- LEGAL ALERTS/ARTICLES
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New Rules Proposed for Direct Electronic Linkages to Exchanges and Other Marketplaces
- November 28, 2012
- LEGAL ALERTS/ARTICLES
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Canadian Regulators Mull Fiduciary Standard for Advisers and Dealers
- November 26, 2012
- LEGAL ALERTS/ARTICLES
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Foreign Corrupt Practices Act Guide Issued by DOJ and SEC
- November 26, 2012
- LEGAL ALERTS/ARTICLES
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Mutual Funds Point of Sale Stage 2: An Opportunity to Revisit NP 11-201 Electronic Delivery of Documents
- November 26, 2012
- LEGAL ALERTS/ARTICLES
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Proportional Regulation: An Update on Proposed National Instrument 51-103 Ongoing Governance and Disclosure Requirements for Venture Issuers
- November 26, 2012
- LEGAL ALERTS/ARTICLES
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DOJ and SEC Release Long-Awaited FCPA Resource Guide
- November 23, 2012
- LEGAL ALERTS/ARTICLES
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FSOC Turns Up the Heat on Money Market Fund Reform
- November 23, 2012
- LEGAL ALERTS/ARTICLES
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IRS and SEC Bond Initiatives Aimed at Tax-Exempt Hospitals and Other 501(c)(3) Organizations
- November 23, 2012
- LEGAL ALERTS/ARTICLES
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Long-Anticipated FCPA Guidance Underscores Need for Effective FCPA Compliance
- November 23, 2012
- LEGAL ALERTS/ARTICLES
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Top Five Takeaways From the New FCPA Guide
- November 23, 2012
- LEGAL ALERTS/ARTICLES