Securities
This is FindLaw's collection of Securities articles, part of the Finance section of the Corporate Counsel Center. Law articles in this archive are predominantly written by lawyers for a professional audience seeking business solutions to legal issues. Start your free research with FindLaw.
Finance
Securities Articles
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The Securities Litigator Know as "Jaws" Shares His Optimistic Look on the Industry, the Courts' Inconsistency on SLUSA and the Shaky Three-Legged Stool of Investor Protection -
The DC Circuit vacated the SEC's ""proxy access"" Rule 14a-11, leaving the SEC to consider how it will proceed on the issue of proxy access. -
CFTC Chairman Gary Gensler recently spoke to the Futures Industry Association about what the CFTC has been doing to implement Dodd-Frank reforms. -
Proposed Rules Requiring Investment Companies and Investment Advisers to Adopt "Compliance Programs"
The Securities and Exchange Commission is proposing new rules that would require each investment company and investment adviser registered with the Commission to adopt and implement policies and procedures designed to prevent the violation of federal securities laws and to protect fund investors. -
On June 23, 2003 the Securities and Exchange Commission (the ‚ “SEC ‚ ”) published for public comment the funding proposal of the Public Company Accounting Oversight Board (the ‚ “Board ‚ ”), which was created by the Sarbanes-Oxley Act of 2002 (the ‚ “Act ‚ ”). -
The Securities and Exchange Commission has issued final rules prohibiting corporate directors and officers (and those acting under their direction) from exercising improper influence on auditors as required by Section 303(a) of the Sarbanes-Oxley Act of 2002. ‚ -
The Wyoming Legislature has approved a "prudent investor" standard that will allow state trust funds grea. -
Making good on a promise by its chairman (see C&C Newsletter for February, 1999, Item 2), the Securities and Ex. -
The Securities and Exchange Commission, in conjunction with the National Association of Securities Dealers, Inc., t. -
Public companies are now dealing with the issues posed by the SEC's groundbreaking new Form 8-K requirements that went into effect August 23, 2004. Designed to further real-time disclosure of material changes to companies' finances and operations, the revised requirements include new and expanded disclosure items. The new rules also shorten the previous 15-day filing deadline for most items to just four days.