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

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