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Results:1-10 of 172

Insider Trading and Tipping: the Ontario Court Of Appeal Confirms the Test for Establishing Tippee Liability
  • McCarthy Tétrault LLP
  • Canada
  • February 22 2018

The Ontario Court of Appeal recently released a significant decision on the insider trading provisions of provincial securities legislation. In


Insider Trading Decision Provides Guidance to Assess Tippee’s Knowledge About Tipper’s Source of Information
  • McCarthy Tétrault LLP
  • Canada
  • February 16 2018

In the Finkelstein v. Ontario Securities Commission insider trading case, the Ontario Court of Appeal provided guidance on the interpretation of a


SEC's Office of Compliance Inspections and Examinations 2018 Examination Priorities
  • Bracewell LLP
  • USA
  • February 12 2018

On February 7, 2018, the Office of Compliance Inspections and Examinations (“OCIE”) of the U.S. Securities and Exchange Commission (“SEC”) published


SEC Raises Qualified Client Net Worth Threshold to $2.1M
  • Kramer Levin Naftalis & Frankel LLP
  • USA
  • July 2 2016

On June 14, the Securities and Exchange Commission ("SEC") issued an order increasing the net worth threshold for qualified clients from $2 million


SEC approves MSRB’s professional qualification requirements for municipal advisors; status update of other municipal advisor rulemakings
  • Skadden Arps Slate Meagher & Flom LLP
  • USA
  • March 9 2015

On March 2, 2015, the Municipal Securities Rulemaking Board announced that the Securities and Exchange Commission approved the board’s proposal to


MSRB moves foward professional qualification standards for municipal advisors
  • Stinson Leonard Street LLP
  • USA
  • March 2 2015

The Municipal Securities Rulemaking Board, or MSRB, has received approval from the SEC to create baseline standards of professional qualification for


MSRB proposes amendments establishing municipal advisor professional and supervisory qualification requirements
  • Skadden Arps Slate Meagher & Flom LLP
  • USA
  • November 25 2014

On November 19, the MSRB announced that it submitted proposed amendments to the MSRB rules establishing professional and supervisory qualification


Amendments regarding professional qualifications and information concerning associated persons are approved
  • Winston & Strawn LLP
  • USA
  • November 14 2011

On November 3rd, the SEC approved the Municipal Securities Rulemaking Board's proposed amendments to Rule G-3 on professional qualifications, and Rule G-7 on information concerning associated persons.


DOL finalizes investment advice guidance for 401(k) type plans
  • Katten Muchin Rosenman LLP
  • USA
  • November 11 2011

The Department of Labor (the DOL) recently issued guidance that clarifies how advisers can provide investment advice to retirement plan participants in a manner that protects both the participant and the provider.


MSRB provides SEC with information on municipal advisory activities
  • Stinson Leonard Street LLP
  • USA
  • November 10 2011

The Municipal Securities Rulemaking Board, or MSRB, has provided information to the SEC which it believes will assist the agency as it finalizes its definition of municipal advisors under the Dodd-Frank Wall Street Reform and Consumer Protection Act and addresses the activities of these financial professionals that provide advice and services to state and local governments.