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Proposed FINRA Corporate Financing Rule Change
  • Mayer Brown
  • USA
  • November 12 2018

On October 30, 2018, the Financial Industry Regulatory Authority, Inc. (“FINRA”) filed a proposed rule change to amend FINRA Rule 5110 (Corporate

Real estate financing in the USA
  • Paul Weiss
  • USA, Global
  • November 12 2018

A structured guide to real estate financing in the USA

SFC compliance and licensing hints
  • Deacons
  • Hong Kong
  • October 23 2018

The scope of Type 1 (Dealing in Securities) activity is very broad: it includes trading stocks for

Municipal Enforcement, What Direction Under SEC Chairman Clayton?
  • Bracewell LLP
  • USA
  • October 16 2018

Each September brings a flood of Securities and Exchange Commission announcements of enforcement actions as it approaches the September 30 end of its

FDIC releases report on small business lending activity
  • Buckley Sandler LLP
  • USA
  • October 4 2018

On October 1, the FDIC released a report, which covers the findings of its Small Business Lending Survey. The survey studied the responses of

The “wake-up call” for brokers placing D&O liability - Canadian Underwriter
  • Osler Hoskin & Harcourt LLP
  • Canada
  • October 2 2018

In 2012, the Ontario Ministry of the Environment issued a clean-up order against 13 former directors of Northstar Aerospace Canada. Northstar was

Travelers in a Dangerous Time: The Do’s and Don’ts of Crossing the United States Border in the Cannabis Age
  • Wilson Elser
  • USA
  • October 1 2018

Canada’s nascent cannabis industry has experienced revolutionary growth over the past two years, as dozens of licensed producers have begun growing

Health Care Enforcement Quarterly Roundup - September 2018
  • McDermott Will & Emery
  • USA
  • September 11 2018

In the latest installment of Health Care Enforcement Quarterly Roundup, we examine key enforcement trends in the health care industry that we have

Conducting insurance and reinsurance business in the United Kingdom
  • Ince & Co LLP
  • United Kingdom, Global
  • September 7 2018

A structured guide to ownership, organisational and operating requirements for insurers and reinsurers in the United Kingdom

SEC Adopts Amendments to Rule 15c2-12
  • Greenberg Traurig LLP
  • USA
  • August 30 2018

Rule 15c2-12 of the Securities Exchange Act of 1934 (Rule 15c2-12) was adopted by the Securities and Exchange Commission (SEC) in 1989 to establish