The Mentor Blog this week noted the publication of a recent study of Blue Sky exemptions covering private resales. The study was prepared by SecondMarket, which describes itself as an ”online marketplace for illiquid assets”....more
The NYSE has proposed amendments to NYSE Rules 451 and 465, and the related provisions of Section 402.10 of the NYSE Listed Company Manual. Those rules provide a schedule for the reimbursement of expenses by issuers to NYSE...more
A recent federal court decision highlights the increasing risk of prosecution for foreign national executives under the Foreign Corrupt Practices Act ("FCPA”). The decision from the federal district court in New York denied...more
Originally published in Canada China Business Forum, Fall-Winter 2012: THE TORONTO STOCK EXCHANGE (TSX) AND THE TSX Venture Exchange (TSX-V), which are part of the TMX Group in Canada , are receptive to new successful ...more
Various NYSE require listed companies to provide notice to the NYSE upon certain events. The methods specified to give notice vary from rule to rule and sometimes no notice method is specified. The SEC has approved an...more
Italian Law No. 228 dated December 24, 2012, which approved the 2013 budget, contemplates, among others, a new tax applicable to certain financial transactions (the “Tobin Tax”). The Tobin Tax will apply to transactions,...more
Currently, under Securities and Exchange Commission Rule 15c3-1 (the Net Capital Rule), broker-dealers may treat equity securities of a foreign issuer that are listed on the FTSE World Index as having a ready market. A ready...more
Originally published in The Canada China Business Forum - Fall/Winter 2012. The Toronto Stock Exchange (TSX) and the TSX Venture Exchange (TSX-V), which are part of the TMX Group in Canada, are receptive to new...more
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