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163 results found


Morrison & Foerster LLP | USA | 12 Sep 2016

The next chapter: A new bond linking financial returns to environmental or social goals could thrive. But securities law conditions need to be met first

Shakespeare's Juliet may not have ascribed great significance to a name but for securities lawyers and market participants alike there is significance


Holland & Knight LLP | USA | 18 May 2011

FINRA and SEC approve new FINRA Rule 5131 re: “spinning”

The Financial Industry Regulatory Authority, Inc. ("FINRA") has recently adopted, and the Securities and Exchange Commission has approved, new FINRA Rule 5131 ("Rule 5131").


Foley Hoag LLP | USA | 21 Apr 2011

Massachusetts secretary of state proposes new regulations for investment advisers in response to Dodd-Frank Act

The Massachusetts Securities Division, under the direction of Secretary Galvin, has proposed new regulations relating to the regulation of investment advisers, including hedge fund managers.


Haynes and Boone LLP | USA | 1 Feb 2011

New FINRA Rule 5131 to address abuses in the allocation and distribution of IPOs

On November 29, 2010, the Financial Industry Regulatory Authority, Inc. (“FINRA”) announced that FINRA Rule 5131 will take effect on May 27, 2011.


Hogan Lovells | USA | 6 Jan 2011

SEC proposes rules to require registration of "municipal advisors"; municipal advisors defined broadly to potentially include appointed board members of municipal entities and conduit borrowers, employees of conduit borrowers, banks, underwriters, lawyers

On December 20, 2010, the Securities and Exchange Commission (SEC or Commission) voted to propose Rules 15Ba1-1 through 15Ba1-7 (collectively, the Proposed Rules) to, among other things, establish a permanent registration regime with the Commission for municipal advisors and impose certain record-keeping requirements on such advisors.


Baker & Hostetler LLP | USA | 14 May 2009

SEC disclosure reform and Senator Grassley's suggestion that tax exemption give way to charitable activity tax deductions and credits

With the passage of the Securities Acts Amendments of 1975 (Tower Amendment), Congress limited the regulatory scheme for municipal securities (including conduit borrowers such as 501(c)(3)s borrowing through state or local bond issuing authorities).


Bricker & Eckler LLP | USA | 31 May 2008

Federal Trade Commission wants authority over tax-exempt groups

The Federal Trade Commission is looking to extend its authority over tax-exempt organizations.


Fried Frank Harris Shriver & Jacobson LLP | USA | 13 Apr 2007

Investment management regulatory update

A number of significant developments occurred at the SEC during the first quarter of the year.

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