Keywords: Securities regulation
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Journal Articles
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 Articles
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 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...
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Journal Articles
Journal Articles
Journal Articles
Journal Articles
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 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 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 Articles
Journal Articles
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 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 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 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...

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