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CFTC removes big obstacle to hedge fund advertising

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • September 19 2014

On September 9, 2014, the U.S. Commodity Futures Trading Commission ("CFTC") eased long-standing marketing restrictions on private offerings by hedge

Steps to becoming a broker dealer

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • September 18 2014

Section 15(b) of the Securities Exchange Act of 1934 (the Act) requires registration of any broker-dealer effecting securities transactions by means

SEC announces enforcement actions against public companies and corporate insiders based on failure to timely file transaction reports

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • September 16 2014

On September 10, 2014, the Securities and Exchange Commission (SEC) announced enforcement actions against 28 public company insiders for violating

What is FINRA?

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • September 16 2014

The Financial Industry Regulatory Authority, Inc. (FINRA) regulates member brokerage firms and exchange markets in the United States. FINRA is a

Supreme Court modifies class certification procedure in securities fraud class actions

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • June 25 2014

On June 23, 2014, the Supreme Court issued its second decision in the long-running securities fraud class action against Halliburton (Halliburton II

Circuit court denies emergency motion to stay Conflict Minerals Rule; May 31 reporting deadline remains in place

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • May 16 2014

On May 14, 2014, the D.C. Circuit Court of Appeals denied the emergency motion filed by the National Association of Manufacturers and others for a

Conflict minerals rule update: emergency motion filed for complete stay of SEC's conflict minerals rule

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • May 7 2014

As public companies struggle to craft disclosure in their first Form SD filings due May 31, 2014 (June 2, 2014) consistent with guidance (Guidance

Fee-based foreign finders and SECFINRA registration requirements

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • April 30 2014

In connection with an EB-5 program, foreign investors are offered a special subset of private funds and securities offerings made through regional

SEC remains divided over conflict minerals rules; CorpFin issues guidance on compliance

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • April 30 2014

On April 29, 2014 Keith F. Higgins, the Director of the Division of Corporation Finance (CorpFin) at the Securities and Exchange Commission (SEC

Suitability and AML concerns for brokerdealers engaged in the offering and sale of EB-5 investments

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • April 23 2014

In greater frequency, broker-dealers are participating in EB-5 financings. These broker-dealers engage foreign finders and foreign affiliates to