Overview Experience People Events News Intelligence Transactional & Securities 12345next 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 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... 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 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... 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... 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... New NYSE Listing Standards Applicable to Compensation Committees and Advisers Now Final 18 February 2013 Legal News Alert: Transactional & Securities Introduction On January 11, 2013, the SEC approved new listing standards regarding independence requirements for compensation committees and compensation advisers... 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... SEC Approves NYSE and NASDAQ Listing Standards Applicable to Compensation Committees and Advisers 23 January 2013 Legal News Alert: Transactional & Securities On January 11, 2013, the U.S. Securities and Exchange Commission (SEC) approved new listing standards for companies listed on the New York Stock Exchange (NYSE)... Hart-Scott-Rodino Thresholds to Rise Further Due to Annual Indexing 15 January 2013 Legal News Alert: Antitrust Revised thresholds under the Hart-Scott-Rodino Antitrust Improvements Act of 1976 (15 U.S.C. § 18a) (HSR) were published in the Federal Register on January 11, 2013.... 12345next Related 1 2 3
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 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...
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 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...
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...
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...
New NYSE Listing Standards Applicable to Compensation Committees and Advisers Now Final 18 February 2013 Legal News Alert: Transactional & Securities Introduction On January 11, 2013, the SEC approved new listing standards regarding independence requirements for compensation committees and compensation advisers...
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...
SEC Approves NYSE and NASDAQ Listing Standards Applicable to Compensation Committees and Advisers 23 January 2013 Legal News Alert: Transactional & Securities On January 11, 2013, the U.S. Securities and Exchange Commission (SEC) approved new listing standards for companies listed on the New York Stock Exchange (NYSE)...
Hart-Scott-Rodino Thresholds to Rise Further Due to Annual Indexing 15 January 2013 Legal News Alert: Antitrust Revised thresholds under the Hart-Scott-Rodino Antitrust Improvements Act of 1976 (15 U.S.C. § 18a) (HSR) were published in the Federal Register on January 11, 2013....