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Results: 1-10 of 76,752

Practice Pointers on Navigating the Securities Act's Prohibition on General Solicitation and General Advertising
  • Morrison & Foerster LLP
  • USA
  • September 1 2016

The Investment Lawyer Covering Legal and Regulatory Issues of Asset Management VOL. 23, NO. 9 SEPTEMBER 2016 Practice Pointers on Navigating the


The U.S. SEC adopts resource extraction payment disclosure requirement
  • Baker & McKenzie
  • USA
  • August 30 2016

Earlier this summer, the U.S. Securities and Exchange Commission adopted a new rule requiring disclosure of payments made by "resource extraction


OSC Proposes New Rule Regarding Distributions Outside of Canada
  • McMillan LLP
  • Canada
  • August 30 2016

The Ontario Securities Commission (the “OSC”) has proposed a new regime for distributions outside of Canada and published OSC Rule 72-503


SEC Settles Enforcement Cases with Two Companies for Whistleblower Violations
  • Cahill Gordon & Reindel LLP
  • Ireland, USA
  • August 30 2016

In mid-August, the Securities and Exchange Commission ("SEC") issued cease-and-desist orders against BlueLinx Holdings Inc. ("BlueLinx") and Health


EU think tank Bruegel suggests a Continental Partnership after Brexit
  • Baker & McKenzie
  • European Union, United Kingdom
  • August 30 2016

Brussels economic think tank Bruegel, chaired by former president of the European Central Bank, Jean-Claude Trichet, has issued a paper


Federal Court Issues Trial Ruling in Section 36(b) "Manager of Managers" Lawsuit
  • Dechert LLP
  • USA
  • August 29 2016

The U.S. District Court for the District of New Jersey issued its trial ruling on August 25, 2016 in Sivolella v. AXA Equitable Life Insurance


Don’t Hail the CAB - Why FINRA’s Capital Acquisition Broker Rule Set Will Not Get Private Funds to their Destination
  • Sutherland Asbill & Brennan LLP
  • USA
  • August 29 2016

For many years, the private fund industry and the securities bar have called for a limited rule set to govern broker-dealers solely engaged in


SEC Adopts Amendments to Form ADV and Recordkeeping Rule
  • Ropes & Gray LLP
  • USA
  • August 29 2016

On August 25, 2016, the Securities and Exchange Commission (the “SEC”) adopted rules, proposed in May 2015,1 to modernize and enhance the disclosure


SEC Announces 71 Issuer MCDC Settlements
  • Bracewell LLP
  • USA
  • August 29 2016

On August 24, 2016, the SEC announced that it had entered into settlement orders with 71 municipal issuers and other obligated persons for violations


SEC Enters into Two Non-Prosecution Agreements for Alleged FCPA Violations
  • Osler Hoskin & Harcourt LLP
  • USA
  • August 29 2016

In June 2016 the US Securities and Exchange Commission (SEC) announced that it had entered into two non-prosecution agreements (NPAs) with two