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Securities Articles - Page 70

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ARTICLES(2,436)

SEC Grants Reprieve to "Lame Duck" WKSIs
March 09, 2009
LEGAL ALERTS/ARTICLES
Law Firm: Husch Blackwell LLP

Allotment of Shares and Pre-Emption Rights: New Guidance from the Association of British Insurers ("ABI")
March 05, 2009
LEGAL ALERTS/ARTICLES
Law Firm: Hunton Andrews Kurth LLP

CFTC Provides Annual Report Guidance to Commodity Pool Operators
March 05, 2009
LEGAL ALERTS/ARTICLES
Law Firm: Alston & Bird LLP

Electronic Filing of Form D
March 05, 2009
LEGAL ALERTS/ARTICLES
Author: Taylor H. Wilson, William Bruce Newsome, Fletcher Johnston
Law Firm: Haynes and Boone, LLP, Haynes and Boone, LLP

FCMs, IBs and Members of Designated Contract Markets Reminded They Must Retain Electronic Communications
March 05, 2009
LEGAL ALERTS/ARTICLES
Law Firm: Alston & Bird LLP

First Circuit Rules that Executives of Securities Underwriter May Be Held Personally Liable in SEC Enforcement Action for False Statements Contained in Fund Prospectuses
March 05, 2009
LEGAL ALERTS/ARTICLES
Author: Patrick Hamilton, Michael G. Considine, Andrew P. Gaillard, Helen M Harris, Jeffrey Plotkin, Edgardo Ramos
Law Firm: Day Pitney LLP

Regulation D Filings for Hedge Funds - Beware the Ides of March!
March 05, 2009
LEGAL ALERTS/ARTICLES
Author: Steven Lofchie, Alan M. Parness, Elizabeth Richards
Law Firm: Cadwalader, Wickersham & Taft LLP

SEC Adopts New Rules for Rating Agencies and Proposes Others
March 05, 2009
LEGAL ALERTS/ARTICLES
Law Firm: Mayer Brown LLP

SEC Adopts Rules Requiring Companies to Provide Interactive Financial Data
March 05, 2009
LEGAL ALERTS/ARTICLES
Author: David C. Fischer, Mira Kelley
Law Firm: Loeb & Loeb LLP

SEC Approves Rule Pertaining to Supervision of Market Letters
March 05, 2009
LEGAL ALERTS/ARTICLES
Author: Brian C. Daughney, Eden L. Rohrer
Law Firm: Haynes and Boone, LLP

SEC Requires Form D to be Filed Electronically After March 16, 2009
March 05, 2009
LEGAL ALERTS/ARTICLES
Law Firm: Baker & Hostetler LLP

UK FSA Proposes Short Selling Disclosure Requirement for all UK Stocks
March 05, 2009
LEGAL ALERTS/ARTICLES
Author: Matthew D.J. Hudson, William Yonge, Christopher M. Wells, Timothy M. Clark
Law Firm: Proskauer Rose LLP

Derivatives Regulation Update
March 04, 2009
LEGAL ALERTS/ARTICLES
Law Firm: Eversheds Sutherland (US) LLP

State Securities Regulators Propose an Agenda for Change, Will Not Take the Financial Crisis Lying Down
March 04, 2009
LEGAL ALERTS/ARTICLES
Law Firm: Eversheds Sutherland (US) LLP

SEC Adopts Amendments to Form N-1A for Exchange Traded Funds
February 27, 2009
LEGAL ALERTS/ARTICLES
Law Firm: Ropes & Gray LLP

CFTC Staff Advisory Concerning Recordkeeping Requirements
February 26, 2009
LEGAL ALERTS/ARTICLES
Author: David S. Mitchell, Gregory P Gnall, Kevin James Harnisch
Law Firm: Fried, Frank, Harris, Shriver & Jacobson LLP, Fried, Frank, Harris, Shriver & Jacobson LLP, Fried, Frank, Harris, Shriver & Jacobson LLP

SEC Modernizes Requirements for Reporting Oil and Gas Reserves
February 26, 2009
LEGAL ALERTS/ARTICLES
Author: Shahid A. Ghauri, J. Mark Metts, Jeffrey Alan Schlegel, Kathleen Ryan McLaurin, Angela Olivarez, Julie Gremillion
Law Firm: Jones Day

Reminder: Investors May Be Required to File Beneficial Ownership Reports with the SEC by February 17, 2009
February 23, 2009
LEGAL ALERTS/ARTICLES
Law Firm: Torys LLP

Recent "Radical Departure" by the First Circuit Expands Primary Rule 10b-5 Liability
February 10, 2009
LEGAL ALERTS/ARTICLES
Author: James Richard Carroll, David Scott Clancy
Law Firm: Skadden, Arps, Slate, Meagher & Flom LLP, Skadden, Arps, Slate, Meagher & Flom LLP

Commodity Futures Trading Commission Sanctions Commodity Pool Operators for Late Reports
February 05, 2009
LEGAL ALERTS/ARTICLES
Law Firm: Alston & Bird LLP

NFA Requests Information from Commodity Pool Operators
February 05, 2009
LEGAL ALERTS/ARTICLES
Law Firm: Alston & Bird LLP

SEC Proposes Adoption of IFRS Financial Reporting for U.S. Issuers
February 05, 2009
LEGAL ALERTS/ARTICLES
Author: Ted Kamman, Christopher M. Kelly, Richard M. Kosnik
Law Firm: Jones Day

Madoff 'Redeemers' Are Not yet In the Clear: Lawsuits to Claw Back Profits, And Even Principal, Are Likely
February 04, 2009
LEGAL ALERTS/ARTICLES
Law Firm: Herbert Smith Freehills Kramer LLP

SEC Adopts Rules Related to Summary Prospectus Information and Prospectus Delivery Options
February 04, 2009
LEGAL ALERTS/ARTICLES
Law Firm: Alston & Bird LLP

UK Short Selling Ban to Be Lifted
January 29, 2009
LEGAL ALERTS/ARTICLES
Author: Neil Macleod
Law Firm: Fried, Frank, Harris, Shriver & Jacobson LLP

Nasdaq Extends Suspension of the Bid Price and Market Value of Publicly Held Requirements
January 27, 2009
LEGAL ALERTS/ARTICLES
Law Firm: Alston & Bird LLP

Credit Suisse Securities USA (LLC) v. Billing: One Year Later
January 09, 2009
LEGAL ALERTS/ARTICLES
Author: Kenneth E. Carroll
Law Firm: Carrington, Coleman, Sloman & Blumenthal, L.L.P.

Office of Foreign Assets Control Issues Guidance Regarding Opening Securities and Futures Accounts
January 07, 2009
LEGAL ALERTS/ARTICLES
Law Firm: Alston & Bird LLP

Supreme Court Finds that Securities Laws Preempt Antitrust Laws in IPO Litigation
September 17, 2008
LEGAL ALERTS/ARTICLES
Author: Douglas L Wald, Kwame Clement
Law Firm: Arnold & Porter LLP

SEC Announces Auction Rate Securities Settlements
August 29, 2008
LEGAL ALERTS/ARTICLES
Author: Amy Y. Yeung
Law Firm: WilmerHale

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