Securities - Page 9
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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I. Final Rules A. Disclosure Simplification Effective as of September 2, 1997, the SEC has eliminated or amen. -
The Securities and Exchange Commission's newly proposed Regulation B includes highly detailed provisions that build on the framework created in the SEC's Interim Final Regulations issued in 2001. The Interim Regulations never took effect due to complaints from banks, banking regulators and members of Congress who criticized the regulations as unduly burdensome and inconsistent with the intent of Congress to avoid disrupting traditional banking activities. -
This booklet discusses some common issues that arise when starting a business. -
On July 2, 2004, the SEC adopted Rule 204A-1 under the Investment Advisers Act of 1940 and related amendments that require registered investment advisers to adopt a code of ethics. ‚ The new rule is designed to address certain fraudulent trading practices that have been the subject of several recent enforcement actions against investment advisers and to reinforce the fiduciary principles that define the relationship between advisers and their clients -
On July 14, 2004, the Securities and Exchange Commission ("Commission") voted 3-2 to propose new rule 203(b)(3)-2 under the Investment Advisers Act of 1940, as amended ("Advisers Act") to require hedge fund advisers to register with the Commission. The Commission also voted to propose certain conforming and transitional amendments to rules 203(b)(3)-1, 204-2, 205-3, 206(4), and Form ADV. The proposal will be open to public comment for 60 days and must be voted on again by the Commission before it can be adopted. -
General issues for both plaintiff and defendant. -
The Importance of Being Earnest with The SEC and The IRS In the last several years, the field of municipal fi. -
This article summarizes how a company may avoid capital gains taxes if they purchase a "like kind" property which it plans to hold for investment or use in a trade or business. -
This alert provides a list of frequently asked questions concerning the New Regulation FD which become law on October 14, 2000. -
The United States District Court for the District of New Jersey recently held that statements made by an acquiring .