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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
... value [ 4 ]. US Securities and Exchange Commission (SEC) Securities regulation Regulation S-X Disclosure Business acquisitions and dispositions As discussed below, the prior rules provided for different significance testing and filing requirements for acquired real estate operations...
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
... 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. Licensed re-use rights only United States of America Securities regulation Non-GAAP financial measures SEC disclosure On May 17...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2016) 17 (1): 122–130.
Published: 03 May 2016
.... 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 regulation Executive compensation disclosure...
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
... against them, which amounted to a total of $2.6 million in monetary penalties for the 33 respondents who settled the charges. United States Securities and Exchange Commission (SEC) Securities Exchange Act of 1934 Section 13 filings Section 16 reports Securities regulation © Authors 2015...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2014) 15 (3): 28–31.
Published: 26 August 2014
... can be contacted at: richard.parrino@hogallovells.com © Authors 2014 Social media USA Securities Exchange Act of 1934 Securities regulation Communications rules Securities Act of 1933 SEC rules permit issuers and other parties engaged in registered securities offerings...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2014) 15 (2): 22–25.
Published: 03 June 2014
... be contacted at: henry.kahn@hoganlovells.com © Authors 2014 USA Securities and Exchange Commission Broker-dealer registration M&A Brokers Securities Exchange Act of 1934 Securities regulation Earlier no-action relief from broker-dealer registration had strictly circumscribed...
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): 40–43.
Published: 29 November 2011
... it could not do so. Securities regulation Corporate governance Shareholder access Litigation United States of America Published with permission of Covington & Burling LLP. The Court's unanimous decision vacated Rule 14a‐11 on the basis that the SEC acted arbitrarily...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2011) 12 (4): 21–25.
Published: 29 November 2011
... content, who is? 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 Group, Inc. v. First...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2011) 12 (4): 44–47.
Published: 29 November 2011
.... 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 disclosure Regulation United States of America Enforcement alleged that these actions...
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
... controls, or has ultimate responsibility for, the management of private fund assets, though day‐to‐day management of certain assets may also take place at another location. © Company 2011 Investment advisers Dodd Frank Act Securities regulation US Securities and Exchange Commission...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2011) 12 (4): 18–20.
Published: 29 November 2011
... be contacted at: alurton@cov.com © 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
... records, provide reports, and monitor large trader activity starting on April 30, 2012. © Authors 2011 Securities Exchange Act of 1934 Broker‐dealers Securities trading Securities regulation Investments Advisory services Regulation United States of America The SEC has adopted Rule...
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. © Company 2011 Pay to play Securities regulation Investments Advisory services Regulation United States of America Edward L. Pittman can be contacted at: edward.pittman@dechert.com...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2011) 12 (3): 44–48.
Published: 13 September 2011
... income securities Investment research Securities regulation Disclosure Debts Recently, the Financial Industry Regulatory Authority (“FINRA”) issued Regulatory Notice 11‐11 requesting comment on a concept proposal to further regulate fixed‐income research reports, including through both...
