Securities Articles - Page 57
ARTICLES(2,436)
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SEC Proposal Would Allow General Solicitation in Regulation D (Rule 506) and Rule 144A Offerings
- September 04, 2012
- LEGAL ALERTS/ARTICLES
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SEC Proposes Rules Effecting the JOBS Act's Elimination of the General Solicitation Ban in Private Offerings
- September 04, 2012
- LEGAL ALERTS/ARTICLES
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JOBS Act - “General Solicitation” in Private Offerings: SEC Proposes Amendments to Rule 506 and Rule 144A to Remove the Prohibition
- September 03, 2012
- LEGAL ALERTS/ARTICLES
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SEC Adopts Final Rule on Disclosure of Payments by Resource Extraction Issuers
- September 03, 2012
- LEGAL ALERTS/ARTICLES
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SEC Proposes Amendments to Rule 506 to Permit General Solicitation and General Advertising by Hedge Funds, Private Equity Funds and Other Private Funds
- September 03, 2012
- LEGAL ALERTS/ARTICLES
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The State of Student Loans - an interview with Tom Krebs
- September 03, 2012
- LEGAL ALERTS/ARTICLES
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SEC Releases Final Conflict Minerals Rule
- August 29, 2012
- LEGAL ALERTS/ARTICLES
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Congress Considering Significant Increase in SEC Penalties
- August 28, 2012
- LEGAL ALERTS/ARTICLES
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SEC Issues First Whistleblower Program Award
- August 28, 2012
- LEGAL ALERTS/ARTICLES
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SEC Issues Its First Whistleblower Program Award
- August 28, 2012
- LEGAL ALERTS/ARTICLES
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The SEC Has Made Its First Dodd-Frank Whistleblower Award
- August 28, 2012
- LEGAL ALERTS/ARTICLES
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PCAOB Issues Report on the Interim Inspection Program for Broker-Dealer Auditors: Calls Out Deficiencies
- August 27, 2012
- LEGAL ALERTS/ARTICLES
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SEC Issues Report on the Municipal Securities Market
- August 24, 2012
- LEGAL ALERTS/ARTICLES
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"Proposed Exemption for the Canadian Derivatives End-User", June 15, 2012
- August 22, 2012
- LEGAL ALERTS/ARTICLES
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Introduction of Requirements for Public Tender Offer of Marketable Securities of Publicly Offered Companies
- August 22, 2012
- LEGAL ALERTS/ARTICLES
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Proposed OTC Central Counterparty Clearing Requirements Published by Canadian Securities Administrators
- August 22, 2012
- LEGAL ALERTS/ARTICLES
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Supreme Court of Canada to Rule on “Preferable Procedure” Inquiry in Class Actions
- August 22, 2012
- LEGAL ALERTS/ARTICLES
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CFTC and SEC Adopt Rules Defining ‘Swap’ and ‘Security-Based Swap’
- August 21, 2012
- LEGAL ALERTS/ARTICLES
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Unregistered Broker-Dealers: Risky Business for EB-5 Developers
- August 21, 2012
- LEGAL ALERTS/ARTICLES
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Profit Counting: The Pfizer FCPA Settlement
- August 20, 2012
- LEGAL ALERTS/ARTICLES
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OSC Finds No Insider Trading by RIM Officer, but Conduct Contrary to the Public Interest
- August 18, 2012
- LEGAL ALERTS/ARTICLES
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Complaint at Docket 1 in PR, ROMAN v. UBS
- August 16, 2012
- COURT DOCUMENTS
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FINRA's New Suitability Rule and the Important Changes for Members to Ensure Best Practices
- August 16, 2012
- LEGAL ALERTS/ARTICLES
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Case Update - Re Timminco Limited
- August 15, 2012
- LEGAL ALERTS/ARTICLES
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Converium/SCOR: Dutch Court Further Opens the Door for International Securities Fraud Settlements
- August 13, 2012
- LEGAL ALERTS/ARTICLES
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European Institutions Take Leading Roles in U.S. Securities Litigation
- August 13, 2012
- LEGAL ALERTS/ARTICLES
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New UAE Fund Regulation
- August 13, 2012
- LEGAL ALERTS/ARTICLES
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Recent Fair Value Cases in the Delaware Chancery Court
- August 13, 2012
- LEGAL ALERTS/ARTICLES
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NDRC Reply on RMB Fund with FIE GP
- August 10, 2012
- LEGAL ALERTS/ARTICLES
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SEC Releases its Report on the Municipal Securities Market
- August 10, 2012
- LEGAL ALERTS/ARTICLES