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Results: 1-10 of 405

Comment by Feb. 16 on proposed uniform state model rule for M&A brokers

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • January 20 2015

The Broker-Dealer Section of the North American Securities Administrators Association is seeking comments no later than Feb. 16, 2015, on a proposed

Bill governing M&A brokers should resurface in 2015

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • December 29 2014

During 2014, Congress has gained momentum toward creating an exemption from federal broker-dealer registration for "M&A brokers" who facilitate

Late Form 4s aren’t just embarrassing anymore

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • September 11 2014

Yesterday, the SEC announced penalties totaling approximately $2.6 million against directors, officers, beneficial owners and issuers for failure to

U.S. Commerce Department acknowledges that conflict minerals are too hard to track

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • September 9 2014

According to a Wall Street Journal article reported by Emily Chasen, Senior Editor at The Wall Street Journal's CFO Journal, on Sept. 5, 2014, the U

SEC money market reform ERISA impact

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • August 25 2014

Our sister blog reported recently that the Securities and Exchange Commission (the "SEC") published final regulations that reform money market mutual

SEC adopts money market fund reform

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • July 24 2014

On July 23, 2014, the Securities and Exchange Commission announced that it adopted amendments to the rules governing money market mutual funds. Read

Should entrepreneurs care about crowdfunding? It depends on the crowd

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • July 15 2014

It has been more than two years since the JOBS Act was passed and almost nine months since the SEC proposed crowdfunding rules but still no

SEC issues statement on the recent Court of Appeals decision on the conflict minerals rule

  • Porter Wright Morris & Arthur LLP
  • -
  • Democratic Republic of Congo, USA
  • -
  • April 30 2014

We reported previously on the ruling by the United States Court of Appeals for the District of Columbia Circuit striking down the part of the SEC's

First conflict mineral report filed on Form SD

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • April 24 2014

On April 24, 2014, Siliconware Precision Industries Co., Ltd. (Siliconware) earned the distinction of being the first registrant to file a conflict

U.S. Appeals Court strikes down part of SEC conflict minerals rules, upholds key parts

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • April 18 2014

On April 14, 2014, the United States Court of Appeals for the District of Columbia Circuit issued its ruling in the challenge to the SEC's conflict