Securities Articles - Page 71
ARTICLES(2,436)
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Is the "Shelf Life of Your Registration Statement About to Expire? It's Time to Determine Whether You Need New Shelf Registration Statements
- August 10, 2008
- LEGAL ALERTS/ARTICLES
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SEC Proposals to Remove References to Ratings from the Securities Laws Create Implications for ABS Transactions
- August 08, 2008
- LEGAL ALERTS/ARTICLES
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SEC Proposes Revisions to Rule 15a-6 to Improve Regulation of Foreign Broker-Dealers
- August 08, 2008
- LEGAL ALERTS/ARTICLES
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Derivative Suit Dismissed In Light Of Internal Investigation
- August 06, 2008
- LEGAL ALERTS/ARTICLES
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SEC Adopts Proposal to Extend Compliance Date for Auditor Attestation Requirement
- August 06, 2008
- LEGAL ALERTS/ARTICLES
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House Subcommittee Approves Securities Act of 2008 to Expand SEC Enforcement Remedies
- July 30, 2008
- LEGAL ALERTS/ARTICLES
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SEC Amends Emergency Order Regarding Short Sales of Securities of Certain Financial Firms and Provides Additional Guidance and FAQs
- July 30, 2008
- LEGAL ALERTS/ARTICLES
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SEC Extends Date of Auditor Attestation for Non-Accelerated Filers
- July 30, 2008
- LEGAL ALERTS/ARTICLES
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The SEC Proposes Amendments to Exemptions to Registration for Foreign Broker-Dealers under Rule 15a-6
- July 30, 2008
- LEGAL ALERTS/ARTICLES
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SEC Announces New Examinations Focusing on Stock Manipulation
- July 29, 2008
- LEGAL ALERTS/ARTICLES
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SEC Proposes to Revise Registration Statement Eligibility Requirements and Various Securities Act Rules to Eliminate Reliance on Credit Ratings
- July 29, 2008
- LEGAL ALERTS/ARTICLES
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SEC Adopts Delay of Auditor Attestation Requirement for Non-Accelerated Filers
- July 28, 2008
- LEGAL ALERTS/ARTICLES
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SEC Further Extends Deadline for Non-Accelerated Filers' Compliance with Auditor Attestation Report Requirements of Section 404(b) Of SOX
- July 28, 2008
- LEGAL ALERTS/ARTICLES
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SEC Proposes Amendments to the Exemptions Available to Certain Non-U.S. Broker-Dealers under Rule 15a-6
- July 28, 2008
- LEGAL ALERTS/ARTICLES
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Section 16 Reporting - Aggregation of Transactions within $1.00 Range
- July 28, 2008
- LEGAL ALERTS/ARTICLES
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Recent Court and SEC Actions Suggest Heightened Scrutiny for Finders
- July 26, 2008
- LEGAL ALERTS/ARTICLES
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SEC Approves Aggregate Transaction Reporting for Section 16(a) Reports
- July 26, 2008
- LEGAL ALERTS/ARTICLES
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SEC Proposes Amendments to Rules and Forms that Reference Ratings of Nationally Recognized Statistical Rating Organizations
- July 26, 2008
- LEGAL ALERTS/ARTICLES
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BDCs Eligible Portfolio Companies Expanded to Include Certain Listed Securities
- July 25, 2008
- LEGAL ALERTS/ARTICLES
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SEC Proposes to Relax Foreign Broker-Dealer Rule
- July 25, 2008
- LEGAL ALERTS/ARTICLES
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SEC Again Defers Compliance Date for Auditor Attestation Reports by Non-Accelerated Filers
- July 17, 2008
- LEGAL ALERTS/ARTICLES
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SEC to Propose Liberalizing Changes to Securities Exchange Act Rule 15a-6
- July 17, 2008
- LEGAL ALERTS/ARTICLES
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Turf Battle or Investor Protection?
- July 17, 2008
- LEGAL ALERTS/ARTICLES
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SEC Proposes Amendments to Exchange Act Rule 15a-6 Regarding a Foreign Broker's Access to U.S. Investors
- July 10, 2008
- LEGAL ALERTS/ARTICLES
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Virginia Supreme Court Holds That Sale of Closely-Held Business is Subject to the State Securities Act's Civil Liability Provisions
- July 01, 2008
- LEGAL ALERTS/ARTICLES
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Access to U.S. Capital Markets: SEC Proposes Amendments to Exemption for Chinese and Other Non-U.S. Companies Trading OTC in the U.S.
- June 28, 2008
- LEGAL ALERTS/ARTICLES
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SEC Adopts Rule Amendment to Expand the Definition of Eligible Portfolio Companies for BDCs
- June 27, 2008
- LEGAL ALERTS/ARTICLES
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SEC Proposes Enhanced Disclosure and Updated Exemption from Registration for Non-US Issuers
- June 20, 2008
- LEGAL ALERTS/ARTICLES
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Canadian Securities Regulators Propose Revised Rules for Executive Compensation Disclosure
- June 19, 2008
- LEGAL ALERTS/ARTICLES