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Results: 11-20 of 18,384

SEC adopts proxy rule amendments requiring internet posting of proxy materials

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • February 8 2007

The SEC adopted amendments to the proxy rules under the Securities Exchange Act of 1934 that provide an alternative method for issuers and other persons to furnish proxy materials to shareholders by posting them on an Internet Web site and providing shareholders with notice of the availability of the proxy materials

NYSE and NASD revise research analyst and research report rules

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 2 2007

The New York Stock Exchange LLC, in Information Memorandum 07-11, and the National Association of Securities Dealers, Inc., in Notice to Members 07-04, announced revisions to Rules 472 and 2711, respectively

Public-private investment funds: updated overview and issues for potential investors

  • Paul, Weiss, Rifkind, Wharton & Garrison LLP
  • -
  • USA
  • -
  • May 6 2009

On March 23, Treasury released the details of the Public-Private Investment Program, the component of the Financial Stability Plan designed to address the "legacy" assets at the center of the global financial crisis

Treasury and other financial regulators issue financial sector self-assessment reviews to IMF

  • Alston & Bird LLP
  • -
  • USA
  • -
  • August 31 2009

Today, the U.S. Treasury and various other U.S. financial system supervisors and regulators, including the Federal Reserve, Office of the Comptroller of the Currency, Office of Thrift Supervision, Federal Deposit Insurance Corporation, Securities and Exchange Commission, Commodity Futures Trading Commission, and National Association of Insurance Commissioners, submitted financial sector self-assessment reviews for banking, securities, insurance, and payment systems to the International Monetary Fund (IMF

SEC accounting staff offers guidance on restatements for errors resulting from options backdating

  • Paul, Weiss, Rifkind, Wharton & Garrison LLP
  • -
  • USA
  • -
  • January 30 2007

On January 16, 2007, the Chief Accountant of the SEC’s Division of Corporation Finance posted on the SEC website a “Sample Letter Sent in Response to Inquiries Related to Filing Restated Financial Statements for Errors in Accounting for Stock Option Grants” (the “January 16th Letter”

Short selling restrictions

  • Drinker Biddle & Reath LLP
  • -
  • USA
  • -
  • August 28 2009

The SEC continues its focus on abusive short selling by making interim final temporary rules permanent, enforcing short selling restrictions and seeking comments on an Alternative Uptick Rule

Chairman Schapiro issues open letter to broker-dealer firms

  • Alston & Bird LLP
  • -
  • USA
  • -
  • September 1 2009

Yesterday, the Chairman of the SEC, Mary Schapiro, issued an open letter to remind broker-dealer firms and their chief executive officers of their supervisory responsibilities

Rain Commodities to acquire the business of Great Lakes Carbon Income Fund

  • Kramer Levin Naftalis & Frankel LLP
  • -
  • Canada, USA
  • -
  • February 6 2007

Great Lakes Carbon Income Fund (the “Fund”) (TSX: GLC.UN) and Rain Commodities (USA) Inc. (“Rain”), announced that they have entered into a definitive agreement (the “Agreement”) to acquire all of the assets of the Fund

Michigan’s new Uniform Securities Act (2002) is effective October 1 and imposes new requirements for advisers and adviser representatives

  • Dykema Gossett PLLC
  • -
  • USA
  • -
  • August 31 2009

On October 1, 2009, Michigan’s new Uniform Securities Act (2002) (the "Act") will become effective, and Michigan’s securities laws and regulations will transition into the modern world

SEC issues guidance on FASB Accounting Standards Codification

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 28 2009

On August 18, the Securities and Exchange Commission issued interpretive guidance addressing the effect of the transition to Financial Accounting Standards Board (FASB) Statement of Financial Accounting Standards No. 168

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