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Browse Securities trading topic

Laws, regulations and rules subtopic

 

Articles

1-80 out of 80 article(s)
Title Author Type Date Words
New Rules For Registry Of Issuers Of Securities Admitted For Trading In The Brazilian Regulated Markets. Dec 14, 2009 2282
United States : US House Passes Limit On Banks Stakes In Clearinghouses. Dec 12, 2009 341
Additional Steps In Move To Canadian Securities Regulator. Dec 11, 2009 407
EMCOR Group, Inc. Chairman and Chief Executive Officer Adopts Rule 10B5-1 Trading Plan. Dec 3, 2009 591
Corporate And Financial Weekly Digest - November 20, 2009. Kohl, Robert; Ellisen, Hays Nov 23, 2009 3648
Gov't may resume capital gains tax on corporate investment in securities. Brief article Oct 13, 2009 262
TSX To Require Shareholder Vote In Certain M&A Transactions. Oct 1, 2009 683
Law change plea. Aug 27, 2009 64
United States : Banks May Face Carbon Trading Curbs. Aug 17, 2009 97
FINRA's Trade Reporting Rule Amendments Become Effective. De Martino, Ralph Aug 12, 2009 704
Foreign investors eye Saudi shares: government proposals to liberalise the Tadawul could open the door to international buyers to take part in Saudi share trading. Smith, Pamela Ann Aug 1, 2009 999
ASIC Makes Capital Raising And Disclosure Easier. Radice, Nicole Jul 28, 2009 676
Daily Wrap Up - July 27. Jul 27, 2009 637
Registration Exemptions Finalized For International Dealers And Advisers. Jul 27, 2009 2162
PIPE Transactions In Canada: Teck Resources And China Investment Corp. Jul 27, 2009 742
High Speed Trading Under Pressure from Senator. Brief article Jul 25, 2009 199
Final National Registration Rule Introduces Major Changes To Canadian Securities Laws. Jul 22, 2009 3088
SEC rules that Calif. IOUs are securities. Jul 22, 2009 224
Moving towards regulating Closed-End Funds in Germany? Jul 16, 2009 1072
Directors' Trading During A Blackout Period. Jul 14, 2009 796
Complying With The New Rules Governing Securities Trading By Company Employees. Jun 24, 2009 996
Cabela's Chairman Adopts Rule 10b5-1 Trading Plan, Announces Planned Estate Planning Distributions. Jun 9, 2009 430
ISE Publishes Proposal for U.S. Regulatory Reform. Mar 25, 2009 670
Securities law - application for resumption of trading on HK stock exchange. Feb 11, 2009 971
Securities trader status not satisfied. Diehl, Kevin A. Feb 1, 2009 514
NYSE suspends Imperial Capital Stock: Imperial Capital Bancorp. Allen, Mike Brief article Jan 5, 2009 142
AMF publishes draft regulation implementing Quebec Derivatives Act. Nov 24, 2008 1192
IRS issues guidance that treasury's purchase of stocks will not result in ownership change under section 382. Nov 21, 2008 575
TSX takes remedial measures in difficult market conditions. Nov 7, 2008 363
Securities Cross-Trading - ERISA Final Rule. Nov 3, 2008 3087
SEC Extends Form SH Filing Requirement Until August 1, 2009. Oct 29, 2008 1205
New companies law - share capital regime. Oct 24, 2008 2148
Shareholders beware! In light of circuit split, venue may be critical in determining whether shareholders who sell their shares of a company in a leveraged buyout are protected from subsequent avoidance actions in a bankruptcy case. Oct 24, 2008 839
DOL Issues Final Guidance on Cross-Trading Procedures. Oct 10, 2008 1618
Proposed Changes To The Nominal And Immaterial Transaction Exceptions To Prohibited Related Party Transactions In OSFI Guideline E-6. Oct 2, 2008 690
D & O liability in cross-border M & A; As markets open to foreign capital, a new strain of international shareholder litigation is developing with potentially far-reaching effects on a company's directors and officers. Here's how to protect them. Finz, David Oct 1, 2008 1615
EMCOR Chairman and Chief Executive Officer Adopts Rule 10b5-1 Trading Plan. Sep 25, 2008 706
Quebec Government Adopts Securities Transfer Legislation. Dietze, Sterling Sep 1, 2008 822
AMRI CEO Adopts Rule 10B5-1 Stock Trading Plan. Aug 15, 2008 421
The New Transparency Requirements Law. Jul 23, 2008 606
Changes To NewConnect. Szlachetka, Ewa May 30, 2008 373
HealthSpring, Inc. Executives Adopt Rule 10b5-1 Trading Plans. May 9, 2008 405
Down But Not Out: The SEC Will Rise From The PIPE Ashes. Badway, Ernest Apr 28, 2008 738
SEC And FINRA Identify 2008 Broker-Dealer Examination Priorities. Apr 15, 2008 1531
Trading Spaces. Law overview Apr 9, 2008 1554
Corporate And Financial Weekly Digest - March 14, 2008. Mar 18, 2008 2741
A Brief Q&A For Framework Agreements Among Individuals And Brokerage Companies For Stock Market Transactions. Mar 13, 2008 1130
UQM Technologies Executives Adopt Rule 10b5-1 Stock Trading Plans. Feb 20, 2008 494
Molex Co-Chairman Adopts Rule 10b5-1 Trading Plan. Jan 25, 2008 178
Lawson Software CEO Adopts Rule 10b5-1 Stock Trading Plan for 80,000 Shares. Nov 15, 2007 479
New Rules On Short Selling: Canada Regains Its Advantage. Koval, Patricia A.; Hogan, Joris M. Nov 8, 2007 1655
Britain is ready to go with Mifid but too many others are lagging; Efficiency driver: Commissioner Charles McCreevey says Mifid will encourage competition in EU securities trading. Nov 1, 2007 821
SGX Revamps SESDAQ. Oct 17, 2007 580
SEC Proposes Revisions to Rules 144 and 145 to Shorten Holding Period for Affiliates and Non-Affiliates. Lese, Laurence S.; Margulis, Michael H.; Kaufman, David J.; Gutierrez, Ruben Aug 1, 2007 3130
SEC Proposes Significant Amendments To Rules 144 And 145. Jul 24, 2007 840
Courier Corporation Executive Officers and Directors Adopt Rule 10b5-1 Trading Plans. Apr 20, 2007 653
Synergetics USA, Inc. Announces Adoption of 10b5-1 Sales Plans. Apr 17, 2007 446
bebe stores, inc. Vice President Adopts Rule 10b5-1 Trading Plan. Mar 27, 2007 486
Proposed National Instrument 31-103: Impact On The Exempt Securities Market. Spagnolo, Donna Mar 13, 2007 909
Ontario's New Laws For Pledging Securities. Dec 15, 2006 808
iPCS Executive Officers Adopt Rule 10b5-1 Trading Plans. Nov 30, 2006 831
Molina Healthcare CEO and CFO Adopt Rule 10b5-1 Stock Trading Plans. Oct 2, 2006 621
Hedge Fund Alert: SEC Proposes Amendments to Regulation SHO. Jul 31, 2006 910
Taking Stock of the Securities Transfer Act. Jun 22, 2006 826
OSC To Provide Exemptive Relief For Over-Allotment Options. Jun 13, 2006 581
Chronology of Livedoor-related events after prosecution raid. Chronology Mar 20, 2006 410
SEC Proposes Amendments To Tender Offer "All-Holders, Best-Price" Rule. Jan 13, 2006 826
From markets to venues: securities regulation in an evolving world. Macey, Jonathan R.; O'Hara, Maureen (American financial professor) Nov 1, 2005 17406
International Client Alert- November 2004. Nov 18, 2004 4945
Last-Minute Closing Hazards to Avoid During Italian Real-Estate Transactions. Sep 17, 2004 728
The Uniform Securities Transfer Act Will Bring Securities Transfer Laws into the Twenty-First Century. Sep 17, 2004 914
Ivy leaguers riding high in unstable financial world. Plate, Tom Sep 13, 2004 765
A suitable choice: it is possible to judge objectively whether a given variable-annuity exchange is the right thing to do, based on possible future scenarios. Milevsky, Moshe A. Sep 1, 2004 1992
Enquiries, Investigations and Examinations. Aug 11, 2004 2081
Acquisition of German Publicly Traded Companies - An Introduction To The Legal Framework - Part 1. Jul 23, 2004 5925
Acquisition of German Publicly Traded Companies - An Introduction To The Legal Framework - Part 2. Jul 23, 2004 5415
Board of Governors requests comment. Jun 22, 2004 1258
Alternative Investment Market roars back to life with record levels of trading activity. May 1, 2004 340
Do the mutuals need more law? Ribstein, Larry E. Mar 22, 2004 1099
SEC lagging in collection of fines. Brief Article Oct 1, 2003 75

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