Read Securities Law news, alerts, and legal commentary from leading lawyers and law firms:
Bill on Bankruptcy: The Market's Unquenchable Thirst for Junk
Are Political Intelligence Practice Groups Too Risky?
Greenberger: Derivatives Legislation Would Seriously Weaken Dodd-Frank
Bill on Bankruptcy: Lehman Test Case on Judicial Nullification
S&C's Cohen: Brown-Vitter Punishes Banks For Being Big
Cohen: Cyprus Is Not A Template For Future Restructurings
Release of new book on the 'Best Practices Under the FCPA and Bribery Act"
Bill on Bankruptcy: Kodak Plan Bumps the Debt, Craters Stock
STOCK Act Loses Much of Its Teeth, but Members of Congress Aim to Change That
Lessons Learned from the Parker Drilling DPA and Ralph Lauren NPA
Bill on Bankruptcy: Lawyers Easily Make Simple Words Complicated
Raj Mahajan, Allston Trading CEO, Talks HFT and the Business of Prop Trading
Lessons Learned from the BizJet Executives FCPA Enforcement Actions
Konczal: Dodd-Frank Reforms Get Roughed Up in Court
Bill on Bankruptcy: ResCap Report, a Bargain at $83 Million
Sullivan & Cromwell's M&A Hotline is Ringing
Bill on Bankruptcy: Stockton May Win the Battle, Lose the War
NFA Chairman Chris Hehmeyer Talks Bankruptcy Reform
An Update on SEF, IDB and Swap Regulation from Chris Ferreri of ICAP
Jaffe Sees 'A Lot' of IPOs in 2013 'Pipeline'
On 13 May 2013, HM Treasury published a response document to its earlier consultation regarding transposition of the Alternative Investment Fund Managers Directive (AIFMD) in the UK, along with amended...more
On May 2, Lona Nallengara and Shelley E. Parratt, the acting director and the deputy director, respectively, of the Securities and Exchange Commission’s Division of Corporation Finance, participated in a roundtable...more
On March 8, 2013, the Ontario Securities Commission (OSC) closed the comment period on its Staff Consultation Paper 45-710: Considerations for New Capital Raising Prospectus Exemptions (the Consultation Paper), which sought...more
This past week, my second book, “Best Practices Under the FCPA and Bribery Act” was released. Over the past few years I have tried to provide the compliance practitioner with solid information that can be used to implement,...more
On March 26, 2013, the United States Securities and Exchange Commission (SEC) issued a no-action letter to FundersClub Inc. and FundersClub Management LLC. There has been speculation in the crowdfunding, VC and angel investor...more
Rule 15a-6 under the Securities Exchange Act of 1934 provides conditional exemptions from broker-dealer registration for foreign broker-dealers that engage in certain specified activities involving U.S. investors. These...more
The proxy and annual reporting season has begun, with relatively few changes in reporting requirements from last year. Here are some tips to take you through the season and prepare for changes to come.
1. Consider the...more
In This Issue:
SAFE Issues Notice of State Administration of Foreign Exchange on Further Improving and Adjusting Foreign Exchange Policies Related to Direct Investment; SAFE Makes Revisions to Provisions on Foreign...more
In This issue:
- DOJ and SEC Issue Long-Awaited Guidance on the FCPA
- Recent Sentencings of Executives Serve as Reminder of Risks of Responsible Corporate Officer Prosecutions; Risks Grow for Medical Device...more
In This Issue:
- 1. Will Canada Make Room for Crowdfunding?
- 2. Contact Us
Excerpt From “Will Canada Make Room for Crowdfunding?”
When the U.S. recently changed its securities laws to enable...more
On Monday, the Securities and Exchange Commission (SEC) and Department of Justice (DOJ) announced settlement with Tyco International (Tyco) for books and records violation of the Foreign Corrupt Practices Act (FCPA). Tyco...more
On August 29, 2012, the U.S. Securities and Exchange Commission (SEC) issued for public comment a proposal to eliminate the prohibition against general solicitation and general advertising contained in Regulation D...more
On August 22, 2012, the SEC adopted disclosure rules required by Sections 1502 and 1504 of the Dodd-Frank Wall Street Reform and Consumer Protection Act related to conflict minerals and payments by issuers engaged in resource...more
On April 5, 2012, President Obama signed into law the Jumpstart Our Business Startups Act (the “JOBS Act”) containing important changes to U.S. federal securities laws that should make the U.S. capital markets more appealing...more
This article first appeared in the June 2012 issue of PLC Magazine.
For years now, business leaders have argued that the regulatory requirements to be met in order to finance companies in the US, including those...more
On April 5, 2012, President Obama signed into law the Jumpstart Our Business Startups Act (the “JOBS Act”). The stated objective for the JOBS Act is to increase job creation and economic growth in the United Stated by...more
Richard Cassin author of the FCPA Blog, among others, consistently writes about corruption as ripping apart the fabric of many countries. This makes anti-corruption and anti-bribery legislation not only appropriate but...more
The management of risk is as important in the Foreign Corrupt Practices Act (FCPA) arena. (Well maybe not $2.3bn in alleged losses but still it is important.) Number Two in McNulty’s maxims is “What did you do to...more
California Amends Its Security Breach Notification Law
Beginning January 1, 2012, any business that is required, under California's security breach notification law, to provide notice to individuals must include in the...more
On 17 February 2010, the London Stock Exchange published AIM Notice 36 (the “Notice”) together with the February 2010 version of the AIM Rules for Companies (the “AIM Rules”). The changes to the AIM Rules, which are effective...more
This is Judge Howell's Order entered on November 19, 2009 denying the plaintiff's anti-suit injunction....more
The State Council of the PRC recently issued amendments to regulations covering the administration of Foreign-invested Telecommunications Enterprises (FITEs). While it is perceived that the regulations were amended in...more
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