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Securities Articles - Page 55

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ARTICLES(2,436)

DOJ, SEC Release FCPA Resource Guide
November 22, 2012
LEGAL ALERTS/ARTICLES
Author: Kent Kari Anker, Eric Owen Corngold, Mary Mulligan, Katherine Lindsay Pringle
Law Firm: Friedman Kaplan Seiler & Adelman LLP, Friedman Kaplan Seiler & Adelman LLP, Friedman Kaplan Seiler & Adelman LLP, Friedman Kaplan Seiler & Adelman LLP

FCPA Guidance: Déjà Vu All Over Again
November 22, 2012
LEGAL ALERTS/ARTICLES
Author: William Hastings Devaney
Law Firm: Venable LLP

SEC and DOJ Release Highly Anticipated FCPA Resource Guide
November 22, 2012
LEGAL ALERTS/ARTICLES
Law Firm: Skadden, Arps, Slate, Meagher & Flom LLP

US Secretary of the Treasury Exempts FX Swaps and Forwards from Certain Requirements Under the US Commodity Exchange Act
November 22, 2012
LEGAL ALERTS/ARTICLES
Law Firm: Mayer Brown LLP

DOJ and SEC Issue FCPA Guidance
November 21, 2012
LEGAL ALERTS/ARTICLES
Author: Kevin James Harnisch, Joshua Daniel Roth, Steven M Witzel
Law Firm: Fried, Frank, Harris, Shriver & Jacobson LLP, Fried, Frank, Harris, Shriver & Jacobson LLP, Fried, Frank, Harris, Shriver & Jacobson LLP

DOJ and SEC Issue Guidance on FCPA Matters
November 21, 2012
LEGAL ALERTS/ARTICLES
Law Firm: Lane Powell PC

DOJ and SEC Issue Highly Anticipated FCPA Guidance
November 21, 2012
LEGAL ALERTS/ARTICLES
Author: Karen Stephanie Lovitch, Paul E. Pelletier, Aaron M. Tidman
Law Firm: Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.

DOJ and SEC’s Resource Guide on the FCPA Provides Important Guidance to Companies Doing Business Abroad
November 21, 2012
LEGAL ALERTS/ARTICLES
Law Firm: Alston & Bird LLP

DOJ and the SEC Issue New FCPA Guidance
November 21, 2012
LEGAL ALERTS/ARTICLES
Author: Joseph J. Aronica, Robert H. Dietrick
Law Firm: Duane Morris LLP

DOJ and SEC Issue Long-Awaited FCPA Guidance
November 20, 2012
LEGAL ALERTS/ARTICLES
Author: Daniel A. Saunders
Law Firm: Bingham McCutchen LLP

DOJ and the SEC to U.S. Businesses: We Expect Action on Effective Compliance Programs
November 20, 2012
LEGAL ALERTS/ARTICLES
Author: Dwight C. Holton
Law Firm: Lane Powell PC

SEC and Department of Justice Issue Long-awaited FCPA Guidance
November 20, 2012
LEGAL ALERTS/ARTICLES
Law Firm: Taft Stettinius & Hollister LLP

DOJ and SEC Release New Guidance on FCPA: More Clarity but Few Bright Lines
November 19, 2012
LEGAL ALERTS/ARTICLES
Law Firm: Greenberg Traurig, LLP

DOJ and SEC Issue Long-Awaited FCPA Guidance
November 16, 2012
LEGAL ALERTS/ARTICLES
Law Firm: Crowell & Moring LLP

DOJ and SEC Release Joint FCPA Guidelines
November 16, 2012
LEGAL ALERTS/ARTICLES
Author: Jonathan Michael Anderson
Law Firm: Holland & Hart LLP

Mexican and U.S. Corporate Governance: a Comparative Study
November 15, 2012
LEGAL ALERTS/ARTICLES
Author: Laura McMahon, Jaime A. Treviño Gonzalez
Law Firm: JATA - JAT Abogados LLC

"Proposed Amendments to the TSX Company Manual - Majority Voting"
November 09, 2012
LEGAL ALERTS/ARTICLES
Law Firm: Dentons Canada LLP

Pre-IPO Investments: The Dos and Don’ts
November 02, 2012
LEGAL ALERTS/ARTICLES
Author: Jeckle Chiu
Law Firm: Mayer Brown JSM

Changes Ahead For Canadian Money Market Funds? How Will IOSCO’S Recent Policy Recommendations Play out in Canada?
October 30, 2012
LEGAL ALERTS/ARTICLES
Author: Rebecca A. Cowdery, K. Ruth Liu
Law Firm: Borden Ladner Gervais LLP

FINRA Piles It On: Private Placements to Wealthy Individuals Trigger FINRA Filing Requirements
October 22, 2012
LEGAL ALERTS/ARTICLES
Author: Michael T Campoli, Bertrand Charles Fry, Stephen M. Goodman
Law Firm: Pryor Cashman LLP, Pryor Cashman LLP, Pryor Cashman LLP

SEC Adopts Rules Implementing Disclosure Requirements Relating to Payments by Resource Extraction Issuers: Practical Steps for Complying with These Requirements
October 22, 2012
LEGAL ALERTS/ARTICLES
Author: Mario Mancuso
Law Firm: Fried, Frank, Harris, Shriver & Jacobson LLP

Information Barriers at Broker-Dealers
October 19, 2012
LEGAL ALERTS/ARTICLES
Author: Benjamin J. Catalano, Kathy Hellenbrand Rocklen
Law Firm: Proskauer Rose LLP

Lingering Questions Regarding Certain Energy Transportation and Storage Arrangements Require CFTC Action
October 19, 2012
LEGAL ALERTS/ARTICLES
Author: David I. Bloom
Law Firm: Mayer Brown LLP

Changes to Director Elections in Canada
October 17, 2012
LEGAL ALERTS/ARTICLES
Author: Michael Brown, Alexandra Iliopoulos, H. Jane Murdoch
Law Firm: Cassels Brock & Blackwell LLP, Cassels Brock & Blackwell LLP, Cassels Brock & Blackwell LLP

SEC Prepare for Whistleblower Payouts under Dodd-Frank Act
October 17, 2012
LEGAL ALERTS/ARTICLES
Law Firm: Berger & Montague, P.C.

SEC and MSRB Limit the Use of a “Not Reoffered” Designation by Dealers
October 13, 2012
LEGAL ALERTS/ARTICLES
Author: Henryka W. Craig, John Raymond Devine
Law Firm: Miles & Stockbridge P.C., Miles & Stockbridge P.C.

SEC Charges Bank Executives with Understating Losses to Meet Capital Requirements
October 11, 2012
LEGAL ALERTS/ARTICLES
Author: Gabriel Caballero, Andres A. Fernandez, Marina Olman, Clemente L. Vázquez-Bello
Law Firm: Gunster

EB-5 Practice under SEC Proposed Rules to Implement the JOBS Act
October 09, 2012
LEGAL ALERTS/ARTICLES
Author: Jennifer Moseley, Yi Song, Clem Turner
Law Firm: Mona Shah & Associates

Nasdaq Proposes Rules Establishing Listing Standards for Compensation Committees and Selection of Compensation Advisers
October 09, 2012
LEGAL ALERTS/ARTICLES
Author: Heidi Evidente, John Joseph McIlvery
Law Firm: Stubbs Alderton & Markiles, LLP

SEC Issues Final Rules Under Dodd-Frank Act Regarding Conflict Minerals
October 09, 2012
LEGAL ALERTS/ARTICLES
Author: Michael Solecki, Andrew Christopher Thomas
Law Firm: Jones Day, Jones Day

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