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Laws, regulations and rules subtopic

 

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1-100 out of 100 article(s)
Title Author Type Date Words
New Indonesian Tax Regulations Have Significant Implications For Indonesian Bond Issuance Structures. Hogarth, Joel Nov 19, 2009 1594
House Financial Services Committee Approves Investor Protection Bill. Nov 18, 2009 809
Canadian Securities Regulators Decide Not To Overhaul Corporate Governance Regime. Brief article Nov 18, 2009 250
Disclosure Or Ponzimonia? Uslas, Akdogan Conference notes Nov 13, 2009 1384
Elron Elects to Voluntarily Delist from NASDAQ. Nov 12, 2009 551
US SEC Staff Offers Guidance On Exclusion of Shareholder Proposals from Company Proxy Statements. Nov 4, 2009 1442
Lehman Brothers International (Europe) (in administration) - joint administrators release progress report. Report Nov 4, 2009 499
Admission Of Irish ETFs To Trading On The London Stock Exchange. O'Callaghan, Tara Oct 29, 2009 622
SEC And CFTC Issue Joint Report On Regulatory Harmonization. Oct 28, 2009 915
Merrill still tells its bosses to use private jets. Oct 21, 2009 111
Merrill still wants its bosses to travel by private jet. Oct 21, 2009 111
SEC Joins State and Local Governments in Considering Regulation of Investment Adviser Activities Related to Government Plans. Oct 16, 2009 3349
US SEC Does Not Plan to Vote on Proxy Access Rules in 2009. Oct 16, 2009 638
Non-U.S. Issuers - Best Approaches To Delisting And Exiting The U.S. Reporting System Through Deregistration Under The U.S. Securities Exchange Act Of 1934. Oct 14, 2009 7794
High Court Rejects Lehman Brothers Proposal For Scheme Of Arrangement. Oct 13, 2009 766
Sarbanes-Oxley Act Section 404(b): SEC Again Extends Deadline For Non-Accelerated Filers To File Auditor Attestation Report. Oct 13, 2009 245
NAs approved stock exchanges law to be placed for promulgation before senate soon:. Oct 10, 2009 389
A Compilation Of Enforcement And Non-Enforcement Actions - October 2009. Oct 8, 2009 870
Clearly erroneous trades rules set up by SEC. Oct 7, 2009 447
SEC Proposes To Use Investment Advisers Act To Stop Pay To Play Practices Involving Government Pension Plans. Ellenbogen, Richard Oct 5, 2009 799
New Disclosure Rules: More Regulation For Registered Representatives. Badway, Ernest Sep 30, 2009 589
The Position Of The Brazilian Regulator Vis-A-Vis The "Poison Pills". Stuber, Walter Sep 30, 2009 2896
The Exchange Traded Funds In Brazil. Stuber, Walter Sep 30, 2009 2085
SEC Publishes Section 13(d) And 13(g) Compliance & Disclosure Interpretations. Sep 29, 2009 1610
Toronto Stock Exchange To Require Securityholder Approval Of Certain Public Company Acquisitions. Sep 28, 2009 545
Changes To Securities Laws From 1 October 2009 - A Quick Summary. Sep 21, 2009 518
The SEC Proposes New Rules To Restrict "Pay To Play" Practices By Investment Advisers. Sep 18, 2009 1631
Brown group slams politicians and banks. Sep 14, 2009 203
Obama tries to reinvigorate Wall Street reform. Sep 14, 2009 721
Obama aims to reinvigorate Wall Street reform. Sep 14, 2009 376
NYSE Proposes Technical Changes To Corporate Governance Rules. Agen, Joshua Sep 14, 2009 1182
Obama launches push for financial regulatory reform. Sep 13, 2009 395
Obama launches push for financial regulatory reform. Sep 12, 2009 395
Ontario Prospectus And Registration Exemptions - Amendments To National Instrument 45-106 And OSC Rule 45-501 Arising From Ontario Budget Bill 162: Other Changes To National Instrument 45-106. Sep 11, 2009 1100
Implementation Of Point Of Sale Disclosure For Mutual Funds. Sep 11, 2009 651
NYSE Proposes Changes to its Corporate Governance Rules. Blair, Michael T.; Carlson, James B.; Curley, Robert E. Sep 9, 2009 2561
Cyclone Power Technologies Retains Auditors to Prepare Financials for SEC Registration. Sep 8, 2009 705
US SEC Again Revisits the Regulation of Short Sales. Aug 18, 2009 655
Short-Selling: Progress On International Harmonisation And Forthcoming Changes In The UK. Aug 17, 2009 427
SEC climate change disclosure: Is your company's carbon footprint a "Material" risk? Aug 12, 2009 857
SEC Nixes Alleged Vote-Buying Scheme. Aug 11, 2009 904
Securities Law - Disqualification Order Under The Securities And Futures Ordinance. Aug 7, 2009 1270
Daily Wrap Up August 6 AcentsA[euro]A" Finance. Brief article Aug 6, 2009 160
FINRA Amended Trade Reporting Rules Effective August 3, 2009. Brake, Pat Aug 4, 2009 1259
The Obama Administration's Proposed Securitization And Rating Agency Reform Legislation. Aug 4, 2009 466
Interim Temporary Rule 204T is No Longer Temporary. Jul 30, 2009 1435
SEC Issues Proposed Rule Expanding Required Proxy Disclosures. Jul 30, 2009 2156
SPACs Come To Canada And A Powerful Acquisition Tool Is Born. Jul 29, 2009 1934
SEC battles AcentsA[euro]Aoenaked short selling,AcentsA[euro]A makes promptness rule permanent. Brief article Jul 27, 2009 179
SEC Will Extend Pay-To-Play Regulation To Investment Advisers. Jul 27, 2009 1501
A Fresh Regulatory Approach To Convertible Bonds. Eryurekli, Murat Jul 23, 2009 2562
Lessons From The Cuban Insider Trading Decision. Jul 22, 2009 971
SEC rules that Calif. IOUs are securities. Jul 22, 2009 224
Corporate Governance Developments At The NYSE And SEC. McCallum, Leslie Jul 17, 2009 572
SEC Eliminates Broker Discretionary Voting In Director Elections, Proposes Changes To Disclosure & Other Requirements Regarding Corporate Governance & Compensation. Jul 16, 2009 2515
British Columbia Court Of Appeal Strikes Down Disclosure Prohibition In The "British Columbia Securities Act ". Jul 16, 2009 636
Midday Minute July 16 AcentsA[euro]A" Finance. Brief article Jul 16, 2009 186
Daily outlook July 16 AcentsA[euro]A" Finance. Brief article Jul 16, 2009 237
Divided SEC Approves NYSE Amendment To Eliminate Discretionary Broker Voting In Uncontested Director Elections. Jul 13, 2009 1033
SEC Adopts NYSE Rule Amendment Disallowing Broker Voting Of Uninstructed Shares In Director Elections. Jul 13, 2009 913
Midday minute July 13 AcentsA[euro]A" Finance. Brief article Jul 13, 2009 191
SEC Approves Elimination Of Broker Discretionary Voting In Director Elections. Jul 8, 2009 1886
Proposed SEC Amendments To Rules Affecting Money Market Funds. Jul 8, 2009 4720
SEC Proposes Shareholder Access Rule - Revisions To Proxy Rules Would Facilitate Shareholder Nominations Of Directors. Jul 7, 2009 1922
SEC Proposes Proxy Rule Amendments Facilitating Shareholder Nominations Of Directors And Shareholder Proxy Access Proposals. Jul 7, 2009 2520
SEC Issues Proposed Rules On Proxy Access. Jul 7, 2009 1343
Amendment of NYSE Rule 452: Elimination of Broker Discretionary Voting in Director Elections. Jul 6, 2009 1075
FSC may seek court receivership for Taiwan International Securities. Brief article Jul 2, 2009 310
SEC Approves Amendments To NASD Rule 2720 Which Governs Conflicts Of Interest In Public Offerings. Jun 29, 2009 1998
SEC Publishes Proposed Rule Facilitating Shareholder Director Nominations. Jun 25, 2009 2750
Treasury Releases White Paper Proposing Significant Financial Regulatory Reform - Part 2. Company overview Jun 24, 2009 5545
Final Version Of National Registration Requirements Rule Expected By Mid-July 2009. Jun 22, 2009 445
SEC expected to raise SR 7 billion from sukuk issue. Jun 22, 2009 519
Managed Funds - Amending A Fund's Constitution In The Current Economic Climate. Jun 16, 2009 1154
FSA Bans Hedge Fund Manager For Mismarking Trading Positions. Jun 11, 2009 573
Treasury plan to overhaul solvency laws. May 12, 2009 241
NIRI Survey Respondents Strongly Support SEC's Proposed Short Sale Reforms. May 4, 2009 332
The joys and woes of being a remisier: in a bull market, remisiers are so busy taking orders that they have little time to visit the toilet. Many of them became very rich overnight. Now with the prolonged bear market, many are giving up their seats to work in other careers. But the bull cycle will certainly return one day so the younger professionals may want to prepare themselves for the exciting job of a remisier. Teik, Tan Chee Apr 1, 2009 2217
Emerging Issues in Securities Litigation: The Seventh Circuit's recent interpretations of CAFA and SLUSA favor defendants in purported securities class actions*. Mar 30, 2009 1930
What Are Trustees Madoff? Mar 30, 2009 1326
Escala Group Announces Settlement of SEC Investigation. Mar 23, 2009 765
The Fed/ Treasury Gave Us TARP - How Will The SEC Protect The Market From Exposure To Naked Short Sales And Other Abusive Transactions? Mar 17, 2009 3727
'I think the SEC was distracted': outgoing Securities and Exchange Commissioner Paul Atkins talks about bailouts, hedge funds, and what he thinks the SEE should have been regulating. Gillespie, Nick; Welch, Matt Interview Mar 1, 2009 3366
SFC Revised Advertising Guidelines And Enhanced Disclosure Requirements. Feb 19, 2009 1097
SEC Adopts Revised Disclosure And Delivery Requirements For Mutual Funds. Feb 19, 2009 3903
Further Steps To Open The Chinese Corporate Bond Market. Feb 18, 2009 536
Global resumes operation in Jordan. Brief article Feb 17, 2009 240
Top US bankers face grilling. Feb 11, 2009 550
United States: Merrill paying US$1m fine in settlement with SEC. Jan 31, 2009 129
FINRA Proposes Rule Governing Private Placements Of Unregistered Securities Of Broker-Dealers Or Their Control Entities. Jan 30, 2009 958
Ireland And China: Financial Regulators Strengthen Connections. Jan 29, 2009 1226
Special Purpose Acquisition Companies (SPACs) Come To The Toronto Stock Exchange. Jan 23, 2009 2599
SEC Approves Credit Default Swap Exemptions. Jan 21, 2009 1982
Nature's Sunshine Announces SEC Order Revoking Common Stock Registration. Jan 21, 2009 575
CSA Proposes Relaxed Independence Standards For Audit Committees And Revised Disclosure Of Corporate Governance Practices. Jan 20, 2009 1340
Real Estate Activities Under The Framework Of The Bank Holding Company Act: Limits And Opportunities. Jan 15, 2009 3185
NYSE suspends Imperial Capital Stock: Imperial Capital Bancorp. Allen, Mike Brief article Jan 5, 2009 142
BRIEFS. Oct 6, 2008 519
Rating or lotto? As the credit crisis deepens, the credit rating agencies are being blamed for misleading investors. Neil Hodge examines the case for regulation. Hodge, Neil Oct 1, 2008 2449
A test of the agency conflict and control effect on capital structure: the case of Middle Eastern Arab countries. Barakat, Mounther H. Feb 1, 2008 10008

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