We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
In cooperation with Association of Corporate Counsel
  Request new password

Search results

Order by most recent / most popular / relevance

Results: 1-10 of 23,344

Foreign private issuer guide: how US Securities law obligations differ from those of domestic issuers

  • Squire Patton Boggs
  • -
  • USA
  • -
  • July 30 2014

This Guide explains the United States Securities and Exchange Commission’s (SEC) requirements with respect to being Considered a foreign private

In a Section 10(b) Exchange Act case, the U.S. Court of Appeals for the Second Circuit affirmed dismissal of claims filed by the U.S. and foreign investors who purchased stocks on a foreign exchange, even though the stocks were cross-listed in the U.S. an

  • Baker & McKenzie
  • -
  • USA
  • -
  • July 29 2014

Plaintiffs were purchasers of shares of UBS stock who alleged that, beginning with the 2006 launch of an internal hedge fund (Dillon Read Capital

A new reality for ESOP fiduciaries

  • Holland & Knight LLP
  • -
  • USA
  • -
  • July 28 2014

For the ESOP fiduciary of a publicly traded employer, the Supreme Court has made clear that non-public insider information is not required to be used

Financial services

  • Squire Patton Boggs
  • -
  • USA
  • -
  • July 28 2014

On Thursday, July 31, the Government Accountability Office (GAO) is expected to release a long awaited report on funding advantages of the largest

Post-JOBS Act IPO trends

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • July 27 2014

Earlier this month, we commented on some statistics regarding the number of IPOs and the IPO backlog (based on public filings). Here, we offer a few

SEC charges ECN operator for failing to protect customer data

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • July 27 2014

Fragmented markets, alternative trading systems and dark pools are increasingly a focus of discussion in the wake of repeated market outages

SEC approves FINRA Rule to prohibit conditioning customer settlements on expungement

  • BuckleySandler LLP
  • -
  • USA
  • -
  • July 25 2014

On July 23, FINRA announced that the SEC approved a new rule prohibiting FINRA-supervised firms and registered representatives from conditioning

Delaware Supreme Court upholds ruling ordering Wal-Mart to disclose documents relating to Mexican bribery allegations

  • BuckleySandler LLP
  • -
  • USA
  • -
  • July 25 2014

On July 23, the Delaware Supreme Court unanimously upheld a ruling by the Court of Chancery granting Wal-Mart Stores, Inc. shareholders access to

CFPB proposes rule to implement Dodd-Frank HMDA changes

  • BuckleySandler LLP
  • -
  • USA
  • -
  • July 25 2014

On July 24, the CFPB issued a proposed rule to expand the scope of HMDA data reporting requirements. Section 1094 of the Dodd-Frank Act transferred

SEC issues guidance on proxy voting

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 25 2014

The Security and Exchange Commission's Divisions of Investment Management and Corporation Finance issued Staff Legal Bulletin No. 20 (IMCF) on June