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Securities Articles - Page 63

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ARTICLES(2,436)

Senate Questions SEC Disclosure Policies
March 11, 2011
LEGAL ALERTS/ARTICLES
Author: Matthew L. Beville, Geoffrey R. Garinther, George Kostolampros
Law Firm: Venable LLP

Termination of Operating Agreement Triggers LLC Dissolution
February 28, 2011
LEGAL ALERTS/ARTICLES
Author: Peter Mahler
Law Firm: Farrell Fritz, P.C.

Proposed Rules on Registration of Municipal Advisors Target Appointed board Members
February 25, 2011
LEGAL ALERTS/ARTICLES
Author: Ryan S. Pollard
Law Firm: Miles & Stockbridge P.C.

SEC Enforcement Update - The SEC Speaks in 2011
February 21, 2011
LEGAL ALERTS/ARTICLES
Author: Matthew Howard Baughman, Russell Gerard Ryan
Law Firm: King & Spalding LLP, King & Spalding LLP

SEC Proposes New Rules for Defining Security-Based Swap Execution Facilities
February 10, 2011
LEGAL ALERTS/ARTICLES
Author: Charles Edward Dropkin, Joshua W. Thompson, Steven Owen Weise
Law Firm: Proskauer Rose LLP, Proskauer Rose LLP

Disclosure of Repurchase Requests and Issuer Review of Assets in ABS Offerings: SEC Adopts Rules under Dodd-Frank Sections 943 and 945 on Disclosure of Repurchase Requests and Issuer Review of Assets in Offerings of Asset-Backed Securities
February 09, 2011
LEGAL ALERTS/ARTICLES
Law Firm: Sullivan & Cromwell LLP

Amendments to MSRB Rule G-32 Regarding Continuing Disclosure Undertakings
February 08, 2011
LEGAL ALERTS/ARTICLES
Author: George Thomas Magnatta, Joshua S. Pasker
Law Firm: Saul Ewing Arnstein & Lehr LLP

SEC Proposes Permanent Rules for Registration of Municipal Advisors
February 07, 2011
LEGAL ALERTS/ARTICLES
Author: Richard L. Chen, David Franklin Freeman, Richard P. Swanson
Law Firm: Arnold & Porter LLP

CFTC Votes to Propose Repeal of Popular Registration Exemptions
February 03, 2011
LEGAL ALERTS/ARTICLES
Author: David Scott Guin
Law Firm: Withers Bergman LLP

Final Rules Regarding Say-on-Pay and Golden Parachutes
January 31, 2011
LEGAL ALERTS/ARTICLES
Author: Michael A. Hepburn, Paul R. Lang, Thomas D. Twedt

SEC Adopts Say-on-Pay Rules
January 31, 2011
LEGAL ALERTS/ARTICLES
Author: Bruce Cameron Bennett, Bruce Robert Deming, Peter Alexander Laveran-Stiebar, David B Martin
Law Firm: Covington & Burling LLP, Covington & Burling LLP, Covington & Burling LLP, Covington & Burling LLP

SEC Adopts Say-on-Pay Rules
January 27, 2011
LEGAL ALERTS/ARTICLES
Law Firm: Gibson, Dunn & Crutcher LLP

New Jersey Legislature Considering Amendments To Consumer Fraud Act Which Would Confirm That The Statute Does Not Apply To Securities Transactions
January 25, 2011
LEGAL ALERTS/ARTICLES
Author: David J Libowsky
Law Firm: Bressler, Amery & Ross A Professional Corporation

Massachusetts Ruling Highlights New Tensions Between Defaulting Borrowers and Securities Investors
January 17, 2011
LEGAL ALERTS/ARTICLES
Author: Julia L. Davis, Matthew Terrence McLaughlin, Edmund M. O'Toole
Law Firm: Venable LLP, Venable LLP

US Commodity Futures Trading Commission Proposes Rule for End-User Exception to Mandatory Clearing of Swaps
January 14, 2011
LEGAL ALERTS/ARTICLES
Author: A. David Hakim
Law Firm: Mayer Brown LLP

Municipal Bond Offerings: Proposed SEC Rule Impacts Appointed Board Members
January 07, 2011
LEGAL ALERTS/ARTICLES
Author: Jerry V. Kyle, Jerry E. Turner
Law Firm: Andrews Kurth Kenyon LLP, Andrews Kurth Kenyon LLP

Australian Secured Creditor and Insolvency Law: Sweeping Changes Under the New Personal Property Securities Regime
January 05, 2011
LEGAL ALERTS/ARTICLES
Law Firm: Bingham McCutchen LLP

SEC Fee Rate Adjustment for Section 6(b), Section (13e) and Section 14(g) to Be Effective December 27, 2010
December 30, 2010
LEGAL ALERTS/ARTICLES
Law Firm: Sheppard Mullin

CFTC Proposes "Pay-to-Play" Rule for the Swaps Market
December 20, 2010
LEGAL ALERTS/ARTICLES
Author: Brandon Gay, Robert Kurman Kelner, Allison Lurton
Law Firm: Covington & Burling LLP

Securities Industry Rules are the Law of Florida
December 16, 2010
LEGAL ALERTS/ARTICLES
Law Firm: Steele T. Williams, P.A.

How Georgia's New Restrictive Covenants Laws May Impact Broker-Dealers
December 01, 2010
LEGAL ALERTS/ARTICLES
Author: Keith J. Barnett, Jaliya Stewart Faulkner
Law Firm: Eversheds Sutherland (US) LLP

CML V, LLC v. Bax: The Delaware Court of Chancery Discusses Creditors' Standing to Bring Derivative Claims Under the LLC Act and Confirms Creditors' Protective Options Under the LLC Act
November 18, 2010
LEGAL ALERTS/ARTICLES
Law Firm: Richards, Layton & Finger, P.A.

May Majority Member of Managerless Manager-Managed LLC Maintain Derivative Action?
November 16, 2010
LEGAL ALERTS/ARTICLES
Author: Peter Mahler
Law Firm: Farrell Fritz, P.C.

Record FCPA Settlements Continue, Important Lessons to Be Learned
November 11, 2010
LEGAL ALERTS/ARTICLES
Author: Spencer C. Barasch, Paul L. Mitchell, Dena Elizabeth Palermo
Law Firm: Andrews Kurth Kenyon LLP, Andrews Kurth Kenyon LLP

SEC Proposes “Family Office” Exemption Under Dodd-Frank
November 02, 2010
LEGAL ALERTS/ARTICLES
Author: Peter Alan Bogdanow, Katie Kane, Victor B. Zanetti
Law Firm: Andrews Kurth Kenyon LLP, Andrews Kurth Kenyon LLP

SEC Proposes Say-on-Pay Rules
October 28, 2010
LEGAL ALERTS/ARTICLES
Author: Bruce Cameron Bennett, Bruce Robert Deming, David Hamilton Engvall, Peter Alexander Laveran-Stiebar, David B Martin
Law Firm: Covington & Burling LLP, Covington & Burling LLP, Covington & Burling LLP, Covington & Burling LLP, Covington & Burling LLP

Supervision on private placement will be enhanced through amendments to private placement laws and regulations
October 28, 2010
LEGAL ALERTS/ARTICLES
Author: Lisa Lee
Law Firm: Lee, Tsai & Partners Attorneys-at-Law

What's the Hot Trend for Investment?
October 28, 2010
PRESENTATIONS
Author: Salmeh K. Fodor
Law Firm: KF Law, LLC

CFTC to Create a Position Reporting System for Certain Physical Commodity Swaps
October 27, 2010
LEGAL ALERTS/ARTICLES
Author: James M. Cain, Warren P. Davis, William H. Hope, Paul B. Turner
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

Did The SEC Really Have Good Cause To Grant Accelerated Approval Of Amendments To NYSE Rule 452?
October 26, 2010
LEGAL ALERTS/ARTICLES
Author: Keith Paul Bishop
Law Firm: Allen Matkins Leck Gamble Mallory & Natsis LLP

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