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Securities Articles - Page 76

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ARTICLES(2,436)

Preparing for the Form 8-K Accelerated and Expanded Reporting Requirements
July 26, 2004
LEGAL ALERTS/ARTICLES
Author: Ettore A. Santucci, Joseph L. Johnson, James A. Matarese, Scott F. Duggan, John O. Newell
Law Firm: Goodwin Procter LLP, Goodwin Procter LLP, Goodwin Procter LLP, Goodwin Procter LLP

Regulatory Update: SEC and SRO Rules Addressing Analyst Conflicts
July 26, 2004
LEGAL ALERTS/ARTICLES
Author: Gustav F. Bahn, Mark Steven Bergman
Law Firm: Paul, Weiss, Rifkind, Wharton & Garrison LLP

Investment Adviser Codes of Ethics
July 19, 2004
LEGAL ALERTS/ARTICLES
Author: Barri Bogner, D. Grant Vingoe, Benjamin J. Catalano, Bruce Alan MacKenzie, Michael Peng
Law Firm: Dorsey & Whitney LLP

Investment Funds Group Update: SEC Requires Hedge Fund Advisers to Register Under the Investment Advisers Act
July 19, 2004
LEGAL ALERTS/ARTICLES
Author: Marco Venio Masotti, David C. Miller
Law Firm: Paul, Weiss, Rifkind, Wharton & Garrison LLP

Corporate Trustees Sheltered from Gramm-Leach-Bliley Broker-Dealer Regulations
July 15, 2004
LEGAL ALERTS/ARTICLES
Law Firm: Nixon Peabody LLP

SEC Adopts Investment Adviser Code of Ethics
July 15, 2004
LEGAL ALERTS/ARTICLES
Author: Jay S. Neuman, Frederick C. Leech
Law Firm: Reed Smith LLP

SEC Adopts Rules Regarding Internal Control Over Financial Reporting -- Updated
July 15, 2004
LEGAL ALERTS/ARTICLES
Author: Mark Steven Bergman, Raphael Michael Russo
Law Firm: Paul, Weiss, Rifkind, Wharton & Garrison LLP, Paul, Weiss, Rifkind, Wharton & Garrison LLP

SEC Approves Rules for Consolidated Capital Treatment and Investment Bank Holding Company Supervision
July 15, 2004
LEGAL ALERTS/ARTICLES
Law Firm: WilmerHale

SEC Staff Publishes Views on Management's Report on Internal Control Over Financial Reporting
July 15, 2004
LEGAL ALERTS/ARTICLES
Author: Mark Steven Bergman, Raphael Michael Russo
Law Firm: Paul, Weiss, Rifkind, Wharton & Garrison LLP, Paul, Weiss, Rifkind, Wharton & Garrison LLP

Establishment of New Disclosure Regime in the European Union
July 12, 2004
LEGAL ALERTS/ARTICLES
Author: Mark Steven Bergman, Gabor Molnar
Law Firm: Paul, Weiss, Rifkind, Wharton & Garrison LLP

SEC Adopts Additional Disclosure Requirements on Board Approval of Advisory Contracts
July 12, 2004
LEGAL ALERTS/ARTICLES
Author: Frederick C. Leech, Jay S. Neuman
Law Firm: Reed Smith LLP

SEC Proposes Amendments to Section 16 Rules
July 12, 2004
LEGAL ALERTS/ARTICLES
Author: Mark Steven Bergman, Gustav F. Bahn
Law Firm: Paul, Weiss, Rifkind, Wharton & Garrison LLP

SEC Staff to Publicly Release Comment Letters and Company Responses
July 12, 2004
LEGAL ALERTS/ARTICLES
Law Firm: WilmerHale

SEC to Make Registration Statement Comment Letters and Responses Publicly Available
July 12, 2004
LEGAL ALERTS/ARTICLES
Author: Howard Elliot Berkenblit
Law Firm: Sullivan & Worcester LLP

Verdict Reached in Connecticut v. Forstmann Little
July 12, 2004
LEGAL ALERTS/ARTICLES
Author: Jeffrey E Tabak, Caroline L. Kraus
Law Firm: Weil, Gotshal & Manges LLP

New Investment Company Form N-Q and Disclosure Requirements
July 07, 2004
LEGAL ALERTS/ARTICLES
Law Firm: Kilpatrick Townsend & Stockton LLP

New NASD Rule 3500 Series: Emergency Preparedness
July 07, 2004
LEGAL ALERTS/ARTICLES
Author: D. Grant Vingoe, Benjamin J. Catalano, Barri Bogner
Law Firm: Dorsey & Whitney LLP

SEC Alleges Another "Fair Disclosure" Violation Against Siebel Systems, Along with Lack of Disclosure Controls
July 07, 2004
LEGAL ALERTS/ARTICLES
Author: Bruce Cameron Bennett
Law Firm: Covington & Burling LLP

Accounting Oversight Board Issues Final Standard for the Audit of Internal Control over Financial Reporting Required under Sarbanes-Oxley Section 404: Management Must Evaluate the Company's Internal Control and Report on any Material Weaknesses
June 30, 2004
LEGAL ALERTS/ARTICLES
Author: Bernard Joseph Alley, Robert Franklin Dow, T. Clark Fitzgerald, Stephen D. Fox, Lorelei D. Cisne, David E. Howard, Nicole M. Segneri
Law Firm: Arnall Golden Gregory, LLP, Arnall Golden Gregory, LLP, Arnall Golden Gregory, LLP, Arnall Golden Gregory, LLP

Changing Landscape for Bank Securities Activities: SEC Issues Proposed Regulation B (Broker "Push-Out" Rules)
June 30, 2004
LEGAL ALERTS/ARTICLES
Law Firm: WilmerHale

Finders, Broker-Dealers and the Gray Area in Between
June 30, 2004
LEGAL ALERTS/ARTICLES
Author: Sherman A. Cohen, Robert Franklin Dow, David E. Howard, Stuart C. Johnson, M. Nan King, Clinton D. Richardson
Law Firm: Arnall Golden Gregory, LLP, Arnall Golden Gregory, LLP

SEC Adopts Sweeping Changes To Form 8-K To Implement Sarbanes-Oxley's Real Time Reporting Mandate
June 30, 2004
LEGAL ALERTS/ARTICLES
Author: Arthur Cleveland Hall, John Joseph Jenkins, Thomas Frederick McKee, Edward W. Moore, Douglas Andrew Neary
Law Firm: Calfee, Halter & Griswold LLP, Calfee, Halter & Griswold LLP, Calfee, Halter & Griswold LLP, Calfee, Halter & Griswold LLP

SEC Proposes to Overturn Section 16 Levy Decision
June 30, 2004
LEGAL ALERTS/ARTICLES
Law Firm: Duane Morris LLP

SEC Staff to Publicly Release Comment Letters and Responses
June 30, 2004
LEGAL ALERTS/ARTICLES
Author: Mark Steven Bergman
Law Firm: Paul, Weiss, Rifkind, Wharton & Garrison LLP

SEC Rule 38a-I Investment Company Compliance Programs
June 25, 2004
LEGAL ALERTS/ARTICLES

Getting from A to B with Investors
June 23, 2004
LEGAL ALERTS/ARTICLES
Author: Gabor Garai
Law Firm: Epstein Becker & Green, P.C.

PCAOB Auditing Standards: An Audit of Internal Control over Financial Reporting Performed in Conjunction with an Audit of Financial Statements of Publicly Held Companies
June 23, 2004
LEGAL ALERTS/ARTICLES
Law Firm: Seyfarth Shaw LLP

Amendments to Form 8-K Disclosure Requirements and Filing Deadlines
June 09, 2004
LEGAL ALERTS/ARTICLES
Law Firm: Stradley Ronon Stevens & Young, LLP

SEC Final Rules for Form 8-K Disclosure Requirements and Accelerated Filing Deadline
June 09, 2004
LEGAL ALERTS/ARTICLES
Law Firm: Vinson & Elkins LLP

IPOs: What If Your Name Isn't Google?
June 04, 2004
LEGAL ALERTS/ARTICLES
Author: Gabor Garai
Law Firm: Epstein Becker & Green, P.C.

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