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Results: 1-10 of 23,931

SEC Commissioner weighs in on regulatory process and capital formation

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • September 19 2014

SEC Commissioner Daniel Gallagher urged the commission on Wednesday to fulfill its mandate to promote capital formation. The SEC should

This week in securities litigation (week ending September 19, 2014)

  • Dorsey & Whitney LLP
  • -
  • Australia, Hong Kong, United Kingdom, USA
  • -
  • September 19 2014

The Commission continued with broken windows this week. Twenty Rule 105 short selling cases were filed in a group. Last week another group of broken

Prepare for the magnifying glass: SEC hikes scrutiny of asset managers - 4 steps to consider

  • DLA Piper LLP
  • -
  • USA
  • -
  • September 19 2014

Earlier this month, the Wall Street Journal reported that the Securities and Exchange Commission is in the process of preparing new rules to increase

CFTC staff issues JOBS Act exemptive relief harmonizing with SEC’s adoption of Rule 506(C) and amendments to Rule 144A

  • Fried Frank Harris Shriver & Jacobson LLP
  • -
  • USA
  • -
  • September 19 2014

On September 9, 2014, the Division of Swap Dealer and Intermediary Oversight ("DSIO") of the Commodity Futures Trading Commission

When do financial statements go stale?

  • Latham & Watkins LLP
  • -
  • USA
  • -
  • September 18 2014

A “Loss Corporation” does not expect to report positive income after taxes but before extraordinary items and the cumulative effect of a change in

Image Sensing Systems reports closed investigations by both DOJ and SEC

  • BuckleySandler LLP
  • -
  • USA
  • -
  • September 18 2014

Recently, Image Sensing Systems, Inc., a US-based traffic and parking management electronics company, announced that both the DOJ and SEC had

US "fraud on the market" rules to affect securities class actions?

  • Clayton Utz
  • -
  • Australia, USA
  • -
  • September 18 2014

Securities class actions may be easier to prove if a recent court decision is followed through.A person who suffers an investment loss because of

CFPB Civil Investigative Demands

  • Sirote & Permutt PC
  • -
  • USA
  • -
  • September 18 2014

The CFPB has a number of weapons in its arsenal that it can use to exercise supervisory authority. Over the last few years, and especially recently

Promoting job creation bill

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • September 17 2014

The House of Representatives voted 320 to 102 to pass H.R. 5405 (Promoting Job Creation and Reducing Small Business Burdens Act) that contains a

Brokerage firm's deficient insider trading procedures

  • Proskauer Rose LLP
  • -
  • USA
  • -
  • September 17 2014

The SEC recently settled an enforcement action against brokerage firm Monness, Crespi, Hardt & Co. ("MCH") for deficient insider trading procedures