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Securities Articles - Page 68

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ARTICLES(2,436)

SEC Investigations Combat Manual
December 12, 2009
LEGAL ALERTS/ARTICLES
Author: James V. Masella
Law Firm: Blank Rome LLP

SEC Issues Final Rule to Modernize Oil and Gas Reporting Requirements
December 12, 2009
LEGAL ALERTS/ARTICLES
Author: Kevin David Cramer, Mark Jonathan Shubitz, Stanley Magidson
Law Firm: Osler, Hoskin & Harcourt LLP, Osler, Hoskin & Harcourt LLP

SEC Final Rule - Modernization of Oil and Gas Reporting
December 08, 2009
LEGAL ALERTS/ARTICLES
Author: Christopher John Cummings, Stuart Kim Fleischmann, Adam Givertz, Antonia Elizabeth Stolper, Andrew Béla Jánszky
Law Firm: Shearman & Sterling LLP, Shearman & Sterling LLP, Shearman & Sterling LLP, Shearman & Sterling LLP

Regulation of Member Private Offerings
November 06, 2009
LEGAL ALERTS/ARTICLES
Author: Keith Paul Bishop, James (Kimo) E. McCormick
Law Firm: Allen Matkins Leck Gamble Mallory & Natsis LLP

New HST on the Home Front
October 09, 2009
LEGAL ALERTS/ARTICLES
Law Firm: Borden Ladner Gervais LLP

State Securities Regulators Press to Expand Jurisdiction
October 01, 2009
LEGAL ALERTS/ARTICLES
Author: Robert Michael Underwood
Law Firm: Fowler White Boggs P.A.

Courts Signal that Financial Advisors Issue Fairness Opinions, Not Insurance Policies
August 21, 2009
LEGAL ALERTS/ARTICLES
Law Firm: Baker & Hostetler LLP

Municipal Securities under the Microscope
August 06, 2009
LEGAL ALERTS/ARTICLES
Author: Hope M. Jarkowski, W. Hardy Callcott, Daren Stanaway
Law Firm: Bingham McCutchen LLP

Obama Administration Proposes Legislation Requiring Registration of Investment Advisers to Private Funds and Imposing New Recordkeeping and Reporting Requirements Relating to Private Funds
August 06, 2009
LEGAL ALERTS/ARTICLES
Author: Richard A. Goldman, Robert G. Leonard, Meredyth A. Whitford, John Holton
Law Firm: Bingham McCutchen LLP

FINRA Proposes Consolidated Rule Governing the Sale of Investment Company Securities
July 16, 2009
LEGAL ALERTS/ARTICLES
Law Firm: Alston & Bird LLP

NYSE Ends Broker Discretionary Voting in Director Elections
July 15, 2009
LEGAL ALERTS/ARTICLES
Author: Kelley Denise Parker, James H. Schwab, Frances Fang-Yi Mi, Alexander F. Woods
Law Firm: Paul, Weiss, Rifkind, Wharton & Garrison LLP, Paul, Weiss, Rifkind, Wharton & Garrison LLP, Paul, Weiss, Rifkind, Wharton & Garrison LLP

Amendment of NYSE Rule 452: Elimination of Broker Discretionary Voting in Director Elections
July 08, 2009
LEGAL ALERTS/ARTICLES
Author: Laura Diane Richman
Law Firm: Mayer Brown LLP

New AIM Rules and AIM Note for Investing Companies
July 08, 2009
LEGAL ALERTS/ARTICLES
Author: Christopher Raggett, James Green
Law Firm: Hunton Andrews Kurth LLP

FSA Extends Short-Sale Disclosure Requirements
June 25, 2009
LEGAL ALERTS/ARTICLES
Author: Ian Grant
Law Firm: Alston & Bird LLP

No Free Lunch: Court Scrutinizes Coughlin Stoia's free "Monitoring" of Client Investments
June 24, 2009
LEGAL ALERTS/ARTICLES
Author: Charlene S. Shimada, John D. Pernick, Lucy Wang
Law Firm: Bingham McCutchen LLP

UK Short Selling Disclosure Regime Extended
June 24, 2009
LEGAL ALERTS/ARTICLES
Author: Helen Marshall, Christopher Leonard, Roger P. Joseph, Neal E. Sullivan
Law Firm: Bingham McCutchen (London) LLP, Bingham McCutchen (London) LLP

Third Circuit Reiterates Standards to Evaluate the Use of Confidential Informants Post-Tellabs; Court Finds Motive and Opportunity No Longer Sufficient in Alleging Scienter
June 23, 2009
LEGAL ALERTS/ARTICLES
Author: Alan Roy Friedman, Arthur H. Aufses, Stephen Matthew Sinaiko, Victor Régal
Law Firm: Herbert Smith Freehills Kramer LLP, Herbert Smith Freehills Kramer LLP, Herbert Smith Freehills Kramer LLP

SEC Finalizes ARS Settlements
June 22, 2009
LEGAL ALERTS/ARTICLES
Author: Ian Grant
Law Firm: Alston & Bird LLP

The Regulation of Private Placements in France (Updated)
June 22, 2009
LEGAL ALERTS/ARTICLES
Author: Eric Martin Cafritz, Olivier P. Genicot, Benoit Ternon
Law Firm: Fried, Frank, Harris, Shriver & Jacobson (Europe), Fried, Frank, Harris, Shriver & Jacobson (Europe)

Online Social Media and SEC Regulations
June 11, 2009
LEGAL ALERTS/ARTICLES
Author: Garry Schnell
Law Firm: Davis Wright Tremaine LLP

Obama Proposes New Rules for Equity Swaps and Forward Sales of Stock
June 03, 2009
LEGAL ALERTS/ARTICLES
Author: George Cook Howell, Benton Caruthers Tolley, Cecelia Philipps Horner
Law Firm: Hunton Andrews Kurth LLP, Hunton Andrews Kurth LLP, Hunton Andrews Kurth LLP

Repurchases of Senior Preferred Stock Held by Treasury: A Critical Decision for CPP Participants
June 03, 2009
LEGAL ALERTS/ARTICLES
Law Firm: Alston & Bird LLP

SEC Proposes Short Sale Rule
June 03, 2009
LEGAL ALERTS/ARTICLES
Author: Jane K. Storero, Jeffrey M. Taylor, Bradford Clemens
Law Firm: Blank Rome LLP

SEC Files Credit Default Swap Insider-Trading Case
May 29, 2009
LEGAL ALERTS/ARTICLES
Law Firm: Duane Morris LLP

Authorizing the Regulation of Swaps Act
May 28, 2009
LEGAL ALERTS/ARTICLES
Law Firm: Eversheds Sutherland (US) LLP

European Commission Approves UK Asset-backed Securities Guarantee Scheme
May 28, 2009
LEGAL ALERTS/ARTICLES
Author: Tara Eliza Castillo
Law Firm: Alston & Bird LLP

SEC Amends Cover Page to Forms 10-Q and 10-K; Sets Phase-in Schedule for Interactive Data Financial Reporting
May 22, 2009
LEGAL ALERTS/ARTICLES
Law Firm: Frost Brown Todd LLC

SEC Seeks Comment on New Short Sale Price Test and Circuit Breaker Restrictions
May 11, 2009
LEGAL ALERTS/ARTICLES
Law Firm: Baker & Hostetler LLP

US SEC Filing Fees to Increase Substantially; Certain Transaction Fees to Decrease
May 11, 2009
LEGAL ALERTS/ARTICLES
Author: Michael L. Hermsen
Law Firm: Mayer Brown LLP

SEC Proposes and Seeks Comments on New Short Selling Regulations
May 05, 2009
LEGAL ALERTS/ARTICLES
Author: Martha Lou Cochran, David Franklin Freeman, Barri Lynn Bogner, Richard L. Chen, Lauren Rachel Bittman
Law Firm: Arnold & Porter LLP, Arnold & Porter LLP, Arnold & Porter LLP

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