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60 results found


Drinker Biddle & Reath LLP | USA | 6 Nov 2017

SEC Issues MiFID II No-Action Relief and Allays Various Cross-Border Concerns

On January 3, 2018, the European Union (EU) Markets in Financial Instruments Directive (MiFID II) will require, for impacted EU parties, that research


Bernstein Litowitz Berger & Grossmann LLP | USA | 27 Jun 2017

Sharply-Divided Supreme Court Narrows Class Action Tolling Rule

In a 5-4 decision, a sharply divided U.S. Supreme Court ruled yesterday in the CalPERS v. ANZ Securities, Inc. case (No. 16-373) that the filing of a


Skadden Arps Slate Meagher & Flom LLP | USA | 7 Jun 2017

Inside the Courts - An Update From Skadden Securities Litigators

This quarter's issue includes summaries and associated court opinions of selected cases principally decided between February 2017 and April 2017. The


Bressler, Amery & Ross PC | USA | 5 May 2017

House Financial Services Committee Approves Revised Bill Repealing ERISA Fiduciary Rule and Best Interest Contract Exemption

We are issuing the latest update to our recent Alerts regarding the final rules issued by the Department of Labor ("DOL") with respect to fiduciaries


Winston & Strawn LLP | USA | 17 Aug 2016

SEC Whistleblower Actions Suggest Immediate Changes to Severance and Release Agreements

Yesterday August 16, the SEC announced the settlement of yet another action against a company over what is, apparently, the most critical issue


Seyfarth Shaw LLP | USA | 2 Aug 2016

SEC Approves NASDAQ “Golden Leash” Rules

Recently, the U.S. Securities and Exchange Commission (the “SEC”) approved NASDAQ’s new Rule 5250(b)(3), which requires NASDAQ-listed companies to


Bracewell LLP | USA | 21 Jul 2016

Municipal Advisor, School Consultant, and Associated Individuals Enter Settlement Offers with SEC after First-of-Its-Kind Municipal Advisor Antifraud Enforcement Action

On June 13, 2016, the Securities and Exchange Commission (SEC) accepted the settlement offers made by two firms and three executives charged with


Hodgson Russ LLP | USA | 29 Jan 2014

New SEC municipal advisor registration rules

Section 975 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) amended Section 15B of the Securities Exchange Act of


Dentons | Canada | 7 Sep 2011

Proposed National Instrument 51-103: CSA proposes to simplify venture issuer regulation

On May 31, 2010, the Canadian Securities Administrators released a consultation paper detailing a proposal to overhaul the securities regulatory regime applicable to venture issuers (other than issuers that fall within the definition of “venture issuer” under securities legislation by virtue of issuing only debt or preferred shares).


Hunton Andrews Kurth LLP | USA | 1 Sep 2011

Municipal bond offerings: MSRB propose rules of conduct for municipal advisors

In two recent filings with the Securities and Exchange Commission (“SEC”), the Municipal Securities Rulemaking Board (“MSRB”) proposed important new standards of conduct for municipal advisors under the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”).

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