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Mining Securities

Allen Matkins

The Investment Company Act - What Does Tonopah Have To Do With It?

Allen Matkins on

Readers of this space may have noted my fondness for rural Nevada and the town of Tonopah in particular.   Tonopah owes its existence to the vast silver and gold deposits that lay beneath it.  In 1900, rancher James Logan...more

Dorsey & Whitney LLP

SEC Settles Microcap Fraud Scheme With Attorney, Two Audit Firms, Seven Auditors

Dorsey & Whitney LLP on

Microcap fraud is a key part of the broken windows enforcement approach. One of the more significant actions brought in this regard is In the Matter of John Briner, Esq., Adm. Proc. File No. 3-16339 (Jan. 15, 2015). There the...more

Bennett Jones LLP

Miners Beware: Regulators Read Your Investor Presentations

Bennett Jones LLP on

On April 9, 2015, the Canadian Securities Administrators (CSA) published CSA Staff Notice 43-309 - Review of Website Investor Presentations by Mining Issuers (the Staff Notice), which summarizes the findings of a review of...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - Volume X, Issue 3

In this issue: - SEC Chair Directs Staff to Review Commission Rule Excluding Conflicting Proxy Proposals - SEC Comments on FINRA's Proposed Rule Amendment to Increase Pricing Disclosure - CFTC Grants...more

Foley Hoag LLP - Global Business and Human...

The Transparency Agenda: Section 1504 and Beyond

A number of significant briefs were filed recently with the U.S. Court of Appeals for the D.C. Circuit in support of Section 1504 of the Dodd-Frank Act, which requires oil, gas, and mining issuers to report on their payments...more

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