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Securities › Dealers

Seward & Kissel LLP

There Is Really Nothing I Can Add, Even If I ShapeShift

Seward & Kissel LLP on

As lawyer, I pride myself of my ability to wordsmith; like most lawyers, I cannot resist marking up a draft even if it is only just stylistic changes. But sometimes, there is just no way to improve on someone else’s words....more

Blake, Cassels & Graydon LLP

Cooperative System Legislation and Regulations Released: Fees, “Interface” and Transition Unresolved

Blake, Cassels & Graydon LLP on

On August 25, 2015, a revised consultation draft of the uniform provincial and territorial Capital Markets Act (CMA) and draft initial regulations under the CMA (Initial Regulations and, together with the CMA, the...more

Adler Pollock & Sheehan P.C.

Glossary of Important Securities Regulation Terms and Definitions

Adler Pollock & Sheehan P.C. on

This Glossary is designed to provide law students taking Securities Regulation with a tool that will assist them in learning the basic language of securities law and achieve a working knowledge of the fundamental principles...more

Jackson Walker

Texas Adopts Intrastate M&A Dealer Exemption

Jackson Walker on

On February 16, 2015, the Texas State Securities Board voted to formally adopt their proposed Rule 139.27, which provides an exemption from dealer registration for intermediaries providing services solely in connection with...more

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