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Results: 1-10 of 48,806

Global Survey: Politics as Unusual for Institutional Investors
  • FTI Consulting Inc
  • European Union, Global, United Kingdom, USA
  • March 30 2017

Investors have long been well aware of the known risks in doing business in emerging markets. From unstable governments to political corruption to


SEC Continues Aggressive Oversight of Separation and Confidentiality Agreements
  • Epstein Becker Green
  • USA
  • March 30 2017

Last August, we reported on two significant cease-and-desist orders issued by the SEC that, for the first time, found certain language in the


FINRA Proposal to Allow Broker-Dealers to Distribute Predictive Illustrations
  • Latham & Watkins LLP
  • USA
  • March 29 2017

Amendment to FINRA Communications Rule would put member firms on a more equal footing with investment advisers


Securities and Shareholder Litigation & Class Actions
  • Sidley Austin LLP
  • USA
  • March 29 2017

The United States Supreme Court has granted certiorari in a case that could have a significant impact on the law under Section 10(b) of the


State Department ventures into conflict minerals
  • Cooley LLP
  • USA
  • March 29 2017

Bloomberg BNA is reporting that the State Department has launched a new review of “how best to support responsible sourcing of conflict minerals,”


Investigate Piwowar?
  • Cooley LLP
  • USA
  • March 29 2017

Not everyone is pleased by the actions taken by Acting SEC Chair Michael Piwowar directing the SEC staff to review the conflict minerals and pay-ratio


Press Releases Sink Private Offering
  • Stinson Leonard Street LLP
  • USA
  • March 29 2017

The opinion of the SEC in KCD Financial Inc. upholds a FINRA disciplinary action against a FINRA member broker-dealer that sold securities in a


Ninth Circuit Widens Circuit Split on Whether Dodd-Frank Protects Internal Whistleblowing
  • Greenberg Traurig LLP
  • USA
  • March 29 2017

On March 8, 2017, in Somers v. Digital Realty Trust Inc., No.15-cv-17352 (9th Cir., March 8, 2017), the Ninth Circuit Court of Appeals


SEC Adopts T2 Settlement Cycle for Securities Transactions
  • Mayer Brown LLP
  • USA
  • March 29 2017

On March 22, 2017, the US Securities and Exchange Commission approved shortening the standard settlement cycle for most broker-dealer securities


Campaign Contribution Limits Lifted in Illinois Gubernatorial Election, but Pay-to-Play Limits Still Apply
  • Mayer Brown LLP
  • USA
  • March 29 2017

The election season for governor of Illinois is underway. The Illinois gubernatorial primary election will be held on March 20, 2018, and the general