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 394

FINRA invites comment on rules that will govern limited corporate financing brokers

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • March 7 2014

FINRA (the Financial Industry Regulatory Authority) is soliciting public comment on a proposed rule set (LCFB Rule 14-09) for firms that meet the

SEC issues no-action letter regarding transfer of ownership of privately held companies

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • February 21 2014

Earlier this month, the Securities and Exchange Commission (SEC) issued a no-action letter indicating the staff of the Division of Trading and

SEC agrees to first ever deferred prosecution agreement with an individual

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • November 14 2013

A "deferred prosecution agreement" (or DPA) is not a new concept to government prosecutors or to SEC Chairman Mary Jo White, but it is new to the SEC

SAC Capital breaks its own record, settles insider trading charges for $1.2 billion

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • November 6 2013

In March, an affiliate of SAC Capital agreed to a record high settlement of $616 million for charges of insider trading. As it turned out, the SEC

SEC proposes rules for crowdfunding securities offerings

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • October 24 2013

The SEC voted unanimously to propose rules regulating the offering and selling of securities through "crowdfunding". Crowdfunding - a method of

Mark Cuban wins insider trading trial

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • October 17 2013

After "refusing to be bullied" into settlement, Mark Cuban, the billionaire owner of the Dallas Mavericks, won over a Texas jury and was cleared of

SEC approaches shutdown: what functions will continue?

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • October 16 2013

At the beginning of the federal shutdown, the SEC announced that it would continue to operate as normal "for a few weeks" because of its ability to

SoMoLend and general solicitation in Ohio

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • October 11 2013

Later this month the Ohio Division of Securities is expected to conduct a hearing regarding the Division's allegations that SoMoLend Holdings, LLC

SEC agrees to $5 million settlement with two Brazilian insider traders

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • October 10 2013

On Oct. 10, 2013, the Securities and Exchange Commission (SEC) announced that Rodrigo Terpins and his brother, Michel Terpins, have agreed to pay $5

SEC proposes CEO pay ratio rule

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • September 27 2013

On our companion blog Federal Securities Law Blog - Andrew Trafford describes the Securities and Exchange Commission's recently proposed CEO