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FD Disclosures but Cites Risks 05 April 2013 Legal News Alert: Transactional & Securities In connection with a Facebook post by Netflix CEO Reed Hastings, the SEC issued a report of investigation on April 2, 2013 (Netflix Report) indicating that Regulation... A Compilation of Enforcement and Non-Enforcement Actions 30 April 2013 Legal News: Investment Management Update Non-Enforcement Matters Legislation Reintroduced to Charge Investment Advisor User Fees SEC Examination Program for Newly Registered Investment Advisers... Legislature Rewrites Florida LLC Law 07 May 2013 Legal News Alert: Transactional & Securities The 2013 Florida Legislature made several important changes to the law governing Florida limited liability companies (LLCs). The new law was based primarily on the... A Compilation of Enforcement and Non-Enforcement Actions 28 March 2013 Legal News: Investment Management Update Non-Enforcement Matters Recent Newsworthy Remarks by the SEC SEC Issues “Alert” on the Custody Rule Securities Exchange Act Issues for Exchange-Traded... New NASDAQ Listing Rules Applicable to Compensation Committees Now Final 18 February 2013 Legal News Alert: Transactional & Securities Introduction On January 11, 2013, the SEC approved new rules for inclusion in NASDAQ Listing Rules (NASDAQ Rules) regarding independence requirements for compensation... A Compilation of Enforcement and Non-Enforcement Actions 31 January 2013 Legal News: Investment Management Update Non-Enforcement Matters FINRA Announces Regulatory and Examination Priorities for 2013 SEC Previous Hedge Fund Enforcement Trends for 2013 Enforcement... Wisconsin Adopts Law Regulating Business-to-Business Automatic Renewal Clauses 11 August 2010 Legal News Alert: Commercial Transactions & Business Counseling In May 2010, Wisconsin adopted a new statute regulating provisions for the automatic renewal of certain contracts. The law is effective May 1, 2011, but some of... A Compilation of Enforcement and Non-Enforcement Actions 30 May 2013 Legal News: Investment Management Update Non-Enforcement Matters Board Oversight of Distribution and Financial Intermediaries New Identity Theft Rules Investment Management Guidance... A Compilation of Enforcement and Non-Enforcement Actions 27 February 2013 Legal News: Investment Management Update Non-Enforcement Matters Registered Investment Advisers’ Annual Review of Compliance Policies and Procedures Mutual Fund Boards and Oversight of Fair... NYSE Releases Proposed Listing Standards Applicable to Compensation Committees 03 October 2012 Legal News Alert: Transactional & Securities Overview On September 25, 2012,1 the NYSE released a proposal (Proposal), subject to approval by the SEC, regarding independence requirements for compensation... 12345next Related 1 2 3
SEC's Netflix Report Confirms Ability to Use Social Media for Reg. FD Disclosures but Cites Risks 05 April 2013 Legal News Alert: Transactional & Securities In connection with a Facebook post by Netflix CEO Reed Hastings, the SEC issued a report of investigation on April 2, 2013 (Netflix Report) indicating that Regulation...
A Compilation of Enforcement and Non-Enforcement Actions 30 April 2013 Legal News: Investment Management Update Non-Enforcement Matters Legislation Reintroduced to Charge Investment Advisor User Fees SEC Examination Program for Newly Registered Investment Advisers...
Legislature Rewrites Florida LLC Law 07 May 2013 Legal News Alert: Transactional & Securities The 2013 Florida Legislature made several important changes to the law governing Florida limited liability companies (LLCs). The new law was based primarily on the...
A Compilation of Enforcement and Non-Enforcement Actions 28 March 2013 Legal News: Investment Management Update Non-Enforcement Matters Recent Newsworthy Remarks by the SEC SEC Issues “Alert” on the Custody Rule Securities Exchange Act Issues for Exchange-Traded...
New NASDAQ Listing Rules Applicable to Compensation Committees Now Final 18 February 2013 Legal News Alert: Transactional & Securities Introduction On January 11, 2013, the SEC approved new rules for inclusion in NASDAQ Listing Rules (NASDAQ Rules) regarding independence requirements for compensation...
A Compilation of Enforcement and Non-Enforcement Actions 31 January 2013 Legal News: Investment Management Update Non-Enforcement Matters FINRA Announces Regulatory and Examination Priorities for 2013 SEC Previous Hedge Fund Enforcement Trends for 2013 Enforcement...
Wisconsin Adopts Law Regulating Business-to-Business Automatic Renewal Clauses 11 August 2010 Legal News Alert: Commercial Transactions & Business Counseling In May 2010, Wisconsin adopted a new statute regulating provisions for the automatic renewal of certain contracts. The law is effective May 1, 2011, but some of...
A Compilation of Enforcement and Non-Enforcement Actions 30 May 2013 Legal News: Investment Management Update Non-Enforcement Matters Board Oversight of Distribution and Financial Intermediaries New Identity Theft Rules Investment Management Guidance...
A Compilation of Enforcement and Non-Enforcement Actions 27 February 2013 Legal News: Investment Management Update Non-Enforcement Matters Registered Investment Advisers’ Annual Review of Compliance Policies and Procedures Mutual Fund Boards and Oversight of Fair...
NYSE Releases Proposed Listing Standards Applicable to Compensation Committees 03 October 2012 Legal News Alert: Transactional & Securities Overview On September 25, 2012,1 the NYSE released a proposal (Proposal), subject to approval by the SEC, regarding independence requirements for compensation...