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Results: 1-10 of 397

SEC Scrutinizes Severance Agreements for Compliance With Dodd-Frank
  • Greenberg Traurig LLP
  • USA
  • August 22 2016

On Aug. 16, 2016, the U.S. Securities and Exchange Commission (SEC) announced that it had issued its second fine in as many weeks concerning a


FINRA Sends Targeted Exam Letter Concerning the Sale of Non-Traded Business Development Companies
  • Greenberg Traurig LLP
  • USA
  • August 9 2016

FINRA recently sent a sweep letter (or targeted exam letter) to select broker dealers, inquiring about those firms’ sale of non-traded Business


Regulatory Bodies with Oversight of an EB-5 Investment
  • Greenberg Traurig LLP
  • USA
  • August 8 2016

Due to the complex intersection of real estate, corporate, securities and immigration law (among others), an investment in a company under the EB-5


What is the Role of the SEC?
  • Greenberg Traurig LLP
  • USA
  • August 4 2016

In the United States, there are very strict laws in place to protect investors. These laws are administered by a governmental agency known as the U.S


U.S. Treasury Releases Long-Awaited Final Arbitrage Regulations
  • Greenberg Traurig LLP
  • USA
  • August 2 2016

On July 18, 2016, the U.S. Department of the Treasury (Treasury) promulgated long-awaited final regulations (the Final Regulations) under Section 148


Sanchez v. Crocs, Inc.: The Tenth Circuit Address Extraterritoriality
  • Greenberg Traurig LLP
  • USA
  • July 28 2016

In Sanchez v. Crocs, Inc., 2016 U.S. App. LEXIS 13285 (10th Cir. 2016), the Tenth Circuit addressed whether, after Morrison v. National Australia


SEC Share Class Sweep of Registered Investment Advisers Appears to be Underway
  • Greenberg Traurig LLP
  • USA
  • July 25 2016

On July 13, 2016, the SEC’s Office of Compliance Inspections and Examinations (OCIE) announced its 2016 Share Class Initiative (the Initiative). The


SEC Share Class Sweep of Registered Investment Advisers Appears to be Underway
  • Greenberg Traurig LLP
  • USA
  • July 25 2016

Registered investment advisers have noticed increased SEC scrutiny during exams into mutual fund share class disclosure and fees in recent months


SEC Approves NASDAQ’s ‘Golden Leash’ Disclosure Rule
  • Greenberg Traurig LLP
  • USA
  • July 18 2016

On July 1, 2016, the Securities and Exchange Commission (SEC) approved changes to the NASDAQ Listing Rules that will now require every NASDAQ-listed


Agencies Continue to Actively Enforce the Limits of the Passive Investment Exemption Under the HSR Act
  • Greenberg Traurig LLP
  • USA
  • July 14 2016

The U.S. Department of Justice (DOJ) announced July 12, 2016, that ValueAct Capital (ValueAct) has agreed to pay $11 million to settle allegations