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Results: 1-10 of 104

New Texas crowdfunding rules ten factors to consider

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • November 3 2014

So you'd like to take advantage of the new Texas intrastate crowdfunding rules, when they're effective in late November, to raise money for your

NASDAQ listed? Only 24 hours left to file compensation committee certification!

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • October 30 2014

Just a friendly reminder that issuers listed on the NASDAQ Stock Market (“NASDAQ”) must file a one-time certification certifying compliance with the

The SEC’s Investor Advisory Committee ponders change to accredited investor definition

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • October 9 2014

On Thursday, October 9, the Investor Advisory Committee of the Securities and Exchange Commission will meet to discuss whether to recommend a change

Recent SEC guidance to registered advisers to private investment funds

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • July 18 2014

The SEC's Division of Investment Management recently released an IM Guidance Update to address two issues under the SEC's "Custody Rule," Rule

SEC brings first whistleblower retaliation action against hedge fund manager

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • June 19 2014

On Monday of this week, the SEC charged hedge fund manager Paradigm Capital Management of Albany, New York with making improper principal trades and

Adoption of a Rule 10b5-1 Plan to disclose or not to disclose, part 3

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • May 29 2014

The two preceding posts in this series (1) began to address the question whether a CEO's adoption of a Rule 10b5-1 trading Plan should be publicly

Adoption of a Rule 10b5-1 plan to disclose or not to disclose, part 2

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • May 21 2014

The preceding post in this series began to address the question whether a CEO's adoption of a Rule 10b5-1 trading Plan should be publicly disclosed

Adoption of a Rule 10b5-1 plan to disclose or not to disclose, part 1

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • May 13 2014

The CEO of a publicly held company determines to enter into a personal Rule 10b5-1 trading plan ("Plan"). Among other questions that arise in this

Shareholder internal insider-trading policies

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • April 22 2014

Certain organizations that hold or invest in publicly traded securities may gain material nonpublic information regarding an issuer of those

Designating officers for Exchange Act purposes

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • April 1 2014

Annual "housekeeping" activities of public companies at this time of year include, or should include, designating "officers" for purposes of filing