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Bigger Is Smaller: SEC Amends Its Definition of “Smaller Reporting Company,” Making Related Disclosure Relief Available to More Companies
  • K&L Gates
  • USA
  • July 24 2018

On June 28, 2018, the Securities and Exchange Commission (the “SEC”) adopted amendments to the definition of “smaller reporting company” (“SRC”) as


CSA Releases Client-Focused Reforms to NI 31-103 in Response to Client-Registrant Relationship Concerns
  • McMillan LLP
  • Canada
  • July 19 2018

On June 21, 2018 the Canadian Securities Administrators (the "CSA") released proposed amendments (the "Proposed Amendments") to National Instrument


Be Careful What you Post - SEC Continues To Focus on the Use of Social Media by Investment Advisers
  • K&L Gates
  • USA
  • July 17 2018

On July 10, 2018, the Securities and Exchange Commission (the “SEC”) reaffirmed the application of the securities laws to social media use


Investment Funds, Advisers and Derivatives - Mid-Year Recap of Our 2018 Client Updates
  • Sidley Austin LLP
  • USA
  • July 12 2018

As the developments affecting the investment management industry continue to unfold, we have once again prepared our semi-annual compendium of


Registrants Face Significantly Increased Obligations under Proposed CSA Rule Amendments
  • McCarthy Tétrault LLP
  • Canada
  • July 11 2018

Recently, the Canadian Securities Administrators (CSA) published for comment important rule amendments to National Instrument 31-103 Registration


Federal Judge Invalidates U.S. Health and Human Services’ Approval of Changes to Kentucky Medicaid Program
  • Sidley Austin LLP
  • USA
  • July 5 2018

Last Friday, U.S. District Court for the District of Columbia Judge James E. Boasberg invalidated the federal government’s approval of changes to


U.S. Securities and Exchange Commission Issues Two New Frequently Asked Questions About “Inadvertent Custody”
  • Sidley Austin LLP
  • USA
  • June 28 2018

On June 5, 2018, the Securities and Exchange Commission (SEC) staff updated its “Staff Responses to Questions about the Custody Rule” (FAQs) by


Supreme Court Rules Against SEC in ALJ Appointments Case
  • Sidley Austin LLP
  • USA
  • June 26 2018

On June 21, the Supreme Court held in Lucia v. SEC that U.S. Securities and Exchange Commission administrative law judges (ALJs) are “Officers of the


More H-1B Third-Party Placement Changes: DOL Proposes Significant Changes to H-1B LCA Form
  • Ogletree Deakins
  • USA
  • June 14 2018

U.S. employers that hire and place foreign workers with H-1B visas at third-party worksites may be faced with additional burdens in the H-1B petition


ASIC Proposes New Foreign Licensing Regime
  • K&L Gates
  • USA, Australia
  • June 5 2018

On 1 June 2018, the Australian Securities and Investments Commission (ASIC) announced that it is proposing to implement a modified form of an