Securities, SEC | JD Supra Law News

Canadian Securities Regulators Grant Exemptions from Wrapper Requirements

by Rob Lando | Osler, Hoskin & Harcourt LLP on 5/1/2013

A group of securities dealers has successfully obtained relief from most of the requirements that typically drive the need for a Canadian private placement supplement, or wrapper, for selling securities of non-Canadian...more

SEC Staffer Cautions Private Funds Industry on Potential Broker Registration Issues

by Proskauer Rose LLP on 4/29/2013

In a recent speech given to the ABA Trading and Markets Subcommittee, David W. Blass (Chief Counsel of the SEC's Division of Trading and Markets) focused on a number of activities commonly conducted by private fund advisers...more

Use It or Lose It: U.S. Supreme Court Holds the SEC Must Bring Civil Enforcement Actions Within Five Years of Wrongful Conduct

by Eric Breslin, Melissa Geller, Marvin G. Pickholz, Mauro Wolfe | Duane Morris LLP on 3/1/2013

On February 27, 2013, the United States Supreme Court put a stop to the Securities and Exchange Commission's (SEC) practice of bringing civil enforcement actions outside the five-year statute of limitations. In an opinion by...more

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Securities › Securities & Exchange Commission

Canadian Securities Regulators Grant Exemptions from Wrapper Requirements

SEC Staffer Cautions Private Funds Industry on Potential Broker Registration Issues

Use It or Lose It: U.S. Supreme Court Holds the SEC Must Bring Civil Enforcement Actions Within Five Years of Wrongful Conduct

The Transparency Agenda: Section 1504 and Beyond

New FAQs On Broker-Dealer Registration Exemption

FINRA Offers Regulatory Road Map for 2013

Orrick's Financial Industry Week in Review - February 4, 2013

SEC Extends Exemptions for Security-Based Swaps

FINRA Adopts Rule 5123 Requiring the Filing of Offering Documents used in Private Placements of Securities

Stop! In The Name Of ... 28 U.S.C. §2462

Second Circuit Holds Section 16(b) Inapplicable to Different Classes of Common Stock

Former Hedge Fund Founder Ordered to Pay $5 Million for Securities Law Violations

Nevada Secretary of State Cites Three Criminal Convictions As Warning To Crowdfunders

FINRA Releases FAQs On Private Placement Notice Filing Rule

Securities Offerings and Gun Jumping: What You Can and Cannot Do

The Fight Isn’t Over: Employers Should Keep Battling The Definition of “Whistleblower” Under Dodd-Frank

SEC Adopts Rules Governing Listing Standards and Proxy Disclosure for Compensation Committees and Compensation Advisers

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