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Keywords: Securities regulation
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2021) 22 (2): 109–121.
Published: 24 May 2021
... to determine whether an acquired business is significant. The changes modify the significance calculations, but do not alter the prior thresholds for different significance levels. US Securities and Exchange Commission (SEC) Securities regulation Regulation S-X Disclosure Business acquisitions...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2018) 19 (1): 20–27.
Published: 08 May 2018
...; it is not intended to create, and receipt of it does not constitute, a lawyer-client relationship. Licensed re-use rights only United States of America US Securities and Exchange Commission (SEC) Securities regulation Shareholder proposals SEC proxy rules On November 1, 2017, the staff...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2016) 17 (4): 23–33.
Published: 07 November 2016
... of it does not constitute, a lawyer-client relationship. Licensed re-use rights only United States of America Securities regulation Non-GAAP financial measures SEC disclosure On May 17, 2006, the Division of Corporation Finance of the US Securities and Exchange Commission (SEC) issued...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2016) 17 (1): 122–130.
Published: 03 May 2016
... Lovells 2016. All rights reserved. This publication is for information only. It is not intended to create, and receipt of it does not constitute, a lawyer client relationship. 2016 Emerald Group Publishing Limited Licensed re-use rights only United States of America Dodd-Frank Act Securities...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2015) 16 (3): 37–42.
Published: 07 September 2015
... at: richard.parrino@hogallovells.com © Authors 2015 United States Securities Act of 1933 Supreme Court Disclosure in securities offerings Section 11 liability Securities regulation On March 24, 2015, the US Supreme Court issued its much-anticipated decision in Omnicare, Inc. v...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2015) 16 (1): 19–24.
Published: 05 May 2015
... and Exchange Commission (SEC) Securities Exchange Act of 1934 Section 13 filings Section 16 reports Securities regulation On September 10, 2014, the US Securities and Exchange Commission (SEC) announced that it had charged 28 public company officers, directors and significant stockholders...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2014) 15 (3): 28–31.
Published: 26 August 2014
... corporate disclosure system that lies at the heart of USA federal securities regulation must constantly be adapted to changing technologies of communication. Over the past two decades, the USA Securities and Exchange Commission (SEC) has welcomed web-based and other electronic technologies that enable...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2014) 15 (2): 22–25.
Published: 03 June 2014
... Commission Broker-dealer registration M&A Brokers Securities Exchange Act of 1934 Securities regulation For purposes of the post-transaction control requirement described above, “control” means the possession by a buyer or group of buyers of the direct or indirect power to direct the management...
Journal Articles
Marybeth Sorady, Daren Domina, Wendy Cohen, Fred Santo, Henry Bregstein, Meryl Wiener, Marilyn Okoshi, Jack P. Governale
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2011) 12 (4): 4–17.
Published: 29 November 2011
... Investment advisers Dodd Frank Act Securities regulation US Securities and Exchange Commission Investments Advisory services Regulation United States of America For a non‐US adviser, the SEC will look to the investment management activities that are conducted at a place of business...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2011) 12 (4): 53–56.
Published: 29 November 2011
... practical guidance from experienced Russian financial services lawyers. Russia Securities regulation Insider trading Information disclosure The Insider Trading Law [1] that was adopted a year ago and has been gradually implemented since then is due to come into full effect on July 31, 2011...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2011) 12 (4): 21–25.
Published: 29 November 2011
... is? © Emerald Group Publishing Limited 2011 Investment advisers Hedge funds Mutual funds Securities Exchange Act of 1934 Securities regulation Investments Advisory services Hedging Regulation United States of America The US Supreme Court's recent decision in Janus Capital...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2011) 12 (4): 44–47.
Published: 29 November 2011
... such a review before they are forced to do so under less than ideal circumstances. Jason Lane can be contacted at: jason.lane@bingham.com © Emerald Group Publishing Limited 2011 Securities regulation Broker‐dealers Investment advisers Investments Advisory services Information...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2011) 12 (4): 18–20.
Published: 29 November 2011
..., intentionally or recklessly, to: © Emerald Group Publishing Limited 2011 Dodd Frank Act Swaps Securities regulation Commodities trading Commodity markets Regulation United States of America On July 7, the Commodity Futures Trading Commission (CFTC) voted 5‐0 to issue two final rules...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2011) 12 (4): 31–39.
Published: 29 November 2011
... could not avoid identifying itself as a large trader by allocating its trading among subsidiary entities. © Authors 2011 Securities Exchange Act of 1934 Broker‐dealers Securities trading Securities regulation Investments Advisory services Regulation United States of America...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2011) 12 (4): 40–43.
Published: 29 November 2011
... the effectiveness of Rule 14a‐11, a request that the SEC accommodated on October 4, 2010 at the same time that it voluntarily stayed the effectiveness of the amendment to Rule 14a‐8 as well as the related other amendments adopted in 2010. Securities regulation Corporate governance Shareholder access...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2011) 12 (4): 26–30.
Published: 29 November 2011
.... Originality/value The paper provides practical guidance from experienced financial services lawyers. Edward L. Pittman can be contacted at: edward.pittman@dechert.com © Company 2011 Pay to play Securities regulation Investments Advisory services Regulation United States of America...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2011) 12 (3): 44–48.
Published: 13 September 2011
... with the requirements for retail investors, if available. Further, FINRA envisions disclosures applicable to equity research largely should apply to fixed‐income, including: Fixed income securities Investment research Securities regulation Disclosure Debts Recently, the Financial Industry...
