Printer Friendly

Browse Securities law topic

Interpretation and construction subtopic

Articles

1-123 out of 123 article(s)
Title Author Type Date Words
SEC revokes incorporation of Chiyuto Creative Wealth. Feb 17, 2021 627
DFSA Enhances Its Funds Regime. Dec 18, 2018 491
SEC MAY MAKE CHANGES TO AUDITOR INDEPENDENCE RULES. Barias, Stephen Dec 1, 2018 173
South Carolina Insurer Data Security Law Should Be Nationwide Role Model. deCraen, John Nov 5, 2018 803
Corporate Governance Oversight and Proxy Advisory Firms: Do proxy advisors have too much power? Brannon, Ike; Whitley, Jared Sep 22, 2018 2999
Stock Market Short-Termism. Report Sep 22, 2018 660
SEC ISSUES GUIDANCE ON CYBERSECURITY DISCLOSURES. Brief article Apr 1, 2018 139
Lien Requirements: A Case Study Using California Law. Ring, Chris Case study Mar 1, 2018 434
SEC FINALLY PROPOSES CHANGES TO REGULATION S-K. Barlas, Stephen Brief article Jan 1, 2018 269
SEC SPLIT ON FASB DEFINITION OF "MATERIALITY". Barlas, Stephen Brief article Nov 1, 2017 201
GFOA files comments on proposed amendments to SEC Rule 15c2-12: proposed amendments to SEC Rule 15c2-12 would add to the list of event notices to be included in continuing municipal bond disclosure undertakings. Brock, Emily S. Jun 1, 2017 2624
Using the SEC's whistleblower program. Martini, Joseph W.; Giovino, Chris Nov 1, 2016 1381
Innovation vs. Negligence: how ERM can help organizations stay competitive while avoiding regulatory penalties. Minsky, Steven; Walker, Paul L. Cover story Oct 1, 2016 1664
Financial reporting and securities regulation resources. Anders, Susan B. Jul 1, 2016 1209
Will sec move to inune XBRL? the change could be a way to cut down on errors and reduce compliance costs. Barlas, Stephen Brief article Feb 1, 2016 183
In matter of first impression, Second Circuit reviews activities of sovereign wealth fund of the Republic of Kazakhstan, and ponders whether the Foreign Sovereign Immunities Act immunizes an instrumentality of a foreign sovereign against claims that it violated federal securities laws by making misrepresentations outside the United States concerning the value of securities purchased by investors within the United States. Jan 1, 2016 4582
Insider trading: there oughta be a law--or not: a recent appeals court ruling has Congress thinking about adopting a European approach to insider trading. Booth, Richard A. Sep 22, 2015 3882
Courts continue to endorse predictive coding. Brief article Jul 1, 2015 204
Crime and punishment: South Africa's desire to regulate private security firms has fallen foul of World Trade Organisation obligations. Nevin, Tom Jul 1, 2015 718
First rejection, then dismissal: reconsidering American Pipe tolling for securities class actions. Turner, Christine E. Oct 1, 2014 15599
Putting the securities laws to the test: the long-standing approach to federal securities regulation is not working. De Fontenay, Elisabeth Sep 22, 2014 3243
EU makes headway on e-signatures. Brief article Jul 1, 2014 192
A commentary on Ontario poison pill regulation: moving towards a permitted bid mechanism. Snyder, Matthew Mar 22, 2014 12782
Does the SEC rule the job creation roost? Squaring SEC rulemaking with the JOBS Act's relaxation of the prohibition against general solicitation and advertising. Derman, Jeremy Mar 1, 2014 14686
The quote exception rule: giving high frequency traders an unintended advantage. McInish, Thomas H.; Upson, James Statistical data Sep 22, 2013 10858
Federalism still matters: the Securities Reference case. Yahya, Moin A. Mar 22, 2013 3850
New version further relaxes levy for stock gains tax. Liu, Philip Brief article Jun 5, 2012 269
Sarbanes-Oxley: what do financial executives really think? With the 10th anniversary of the major transformative piece of compliance legislation on the horizon, financial executives assess the effect of its key component, section 404. Christensen, Brian; DeLoach, Jim Jun 1, 2012 2081
Insider trading in Malaysia; sanctions and enforcement. Kadir, Rokiah; Muhamad, Suriyani Apr 1, 2012 3649
Dodd-Frank sleeper leaves confusion in its wake. Barry, Joanne S. Column Jan 1, 2011 1076
Heads of GCC Securities Regulators Discuss UAE Project on Unified System of Stock Listing on Securities Market. Oct 26, 2010 961
Corporate and Financial Weekly Digest - October 1, 2010. Kohl, Robert L.; Pentlow, David A. Oct 5, 2010 2929
WikiLeaks tests information and security laws. Pike, George H. Oct 1, 2010 1124
The minutemen: when the SEC issued rule 151A, it thought it had an open and shut case against the fixed indexed annuity industry. It thought wrong. Coffin, Bill Jul 26, 2010 2229
INVESTMENT FUNDS : UCITS: REGULATORY FRAMEWORK CONTINUES TO BE IMPROVED. Jul 5, 2010 431
Extraterritorial application of laws. Jun 1, 2010 2229
Designing an internal control assessment program using COSO's Guidance on monitoring. Tsay, Bor-Yi May 1, 2010 3425
Daily Wrap Up - Sept 3. Sep 3, 2009 434
The relation between IPO underpricing and litigation risk revisited: changes between 1990 and 2002. Zhu, Yun "Ellen" Jun 22, 2009 17535
Securities law. Jun 1, 2009 2045
IMO distribution in a Post-Rule 151A world. Tripses, Michael Jan 19, 2009 803
151A sets stage for federal regulation of other insurance products. Currin, Cailie A. Jan 19, 2009 806
SEC's 151A decision provokes dismay in the industry. Postal, Arthur D. Jan 5, 2009 1493
Editorial: Speech, Not Sanctions. Editorial Dec 1, 2008 483
FINANCIAL SERVICES : UCITS PASSPORTING PACKAGE BACK ON THE CARDS. Nov 10, 2008 445
Securities fraud. Sep 1, 2008 1454
A pragmatist's guide to the SEC's proposed rule 151A. Blazzard, Norse N.; Hasenauer, Judith A. Law overview Aug 4, 2008 1023
The proposed rule will sock it to index annuity distributors. Marrion, Jack Aug 4, 2008 572
A sleeping dog no more. Koco, Linda Law overview Aug 4, 2008 805
SEC seeks public comments on FINRA VA rule changes. Bell, Allison Jun 16, 2008 761
The economics of naked short selling: naked shorting is little different from permissible shorting. Culp, Christopher L.; Heaton, J.B. Mar 22, 2008 4988
The 'phantom shares' menace: naked short selling distorts shareholder control. Welborn, John W. Mar 22, 2008 7409
SEC approves easing of FINRA sales lit review rules. Bell, Allison Brief article Feb 18, 2008 219
Oregon passes new Data Security Law. Barron, Jacob Oct 1, 2007 440
Freestanding warrants and embedded conversion options: complex classification rules draw SEC interest. Dyson, Robert A. Apr 1, 2007 7159
Has Sarbanes-Oxley led to a chilling in the U.S. cross-listing market? Zhu, Hong; Small, Ken Mar 1, 2007 2544
FINANCING OF FOOTBALL CLUBS. Brief article Jan 25, 2007 103
The winding road of SOX compliance. Sharman, Paul A. Jan 1, 2007 1159
Option price backdating appears widespread. Verschoor, Curtis C. Jan 1, 2007 1238
FINANCIAL SERVICES : EU PRESSURE SPURS US CAPITAL MARKET'S LIBERALISATION. Dec 15, 2006 938
Are life settlements securities? Connolly, Jim Dec 4, 2006 454
Sarbanes-Oxley: is it good for your supply chain? Barratt, Mark; Savidge, Matthew; Barratt, Ruth Nov 1, 2006 4306
Reducing the risk of whistleblower complaints. Schreiber, Mark E.; Marshall, David R. Nov 1, 2006 2036
State securities law amendment eases start-up financing. Little, Curt Oct 13, 2006 908
SEC Chairman Christopher Cox is opposed to an exemption from the Sarbanes-Oxley Act for small firms. Brief article Jun 1, 2006 90
Super regulator at work: United Kingdom's Financial Services Authority adjusts to its broadening role. O'Connor, Robert Feb 1, 2006 1855
Checking on Sarbanes-Oxley. Gips, Michael A. Aug 1, 2005 507
Corporate executives and auditors try on SOX. Diana, Tom May 1, 2005 3190
SEC roundtable on Section 404. Barlas, Stephen Apr 1, 2005 843
Criminal enforcement of Florida's securities laws. Barber, Tom Feb 1, 2005 7111
Comment letter issued on the SEC's proposed broker rules for banks. Brief Article Sep 22, 2004 85
CORPORATE GOVERNANCE: CONSULTATIONS AIM TO STRENGTHEN SHAREHOLDERS' RIGHTS. Brief Article Sep 18, 2004 228
Sarbanes-Oxley Act: expanded enforcement. Kleckner, Philip K.; Jackson, Craig Sep 1, 2004 843
Law, share price accuracy, and economic performance: the new evidence. Fox, Merritt B.; Morck, Randall; Yeung, Bernard; Durnev, Artyom Dec 1, 2003 23083
Quick reaction time on Sarbanes-Oxley. Brief Article Oct 1, 2003 269
Rules and prevarications: Bill 198 is in force and the OSC's new rules are under review. All of this is promising, but it's only as powerful as we make it. Biggs, Kenneth; Colman, Robert Oct 1, 2003 1780
Changes since Sarbanes-Oxley: Financial Executive/Deloitte & Touche survey. Heffes, Ellen M. Oct 1, 2003 805
Chief Executive honors Greenberg: CEO of the Year Hank Greenberg warns against 'regulatory overexuberance' and calls U.S. capital markets the 'envy of the world.'. Aug 1, 2003 1301
Watching workers' money. (Comment). Greider, William Mar 17, 2003 1328
An economic analysis of the Private Securities Litigation Reform Act: auctions as an efficient alternative to judicial intervention. Gray, Charles H. Dec 1, 2002 10759
Accounting's Phoenix: The stock options controversy just won't die. (Special Section: Stock Options). Minter, Frank C. Oct 1, 2002 2249
Road shows on the Internet: taking individual investors for a ride on the information highway. Yi, Linda J. Oct 1, 2002 12232
Riding to new plateaus. (From the Chair). Wheeler-Chandler, Nancy Aug 1, 2002 1142
Recent developments in European Union securities law. Wolff, Samuel Jun 22, 2002 17033
Caught in the crosshairs: these plaintiff attorneys are smart, competitive and use tactics every top exec should understand. (Legal). Rothfeder, Jeffrey Jun 1, 2002 3389
The great game of catch-up. (Capitol Ideas). Sanger, David E. Mar 1, 2002 1380
The effect of legal environment on voluntary disclosure: evidence from management earnings forecasts issued in U.S. and Canadian markets. Baginski, Stephen P.; Hassell, John M.; Kimbrough, Michael D. Statistical Data Included Jan 1, 2002 13941
With friends like these: rule-making comment submissions to the Securities and Exchange Commission. (Articles). Nixon, David C.; Howard, Robert M.; DeWitt, Jeff R. Jan 1, 2002 7392
Substitutes for insider trading. Ayres, Ian; Bankman, Joseph Nov 1, 2001 29651
Bolivian companies shy away from scrutiny of equities markets. Brief Article Apr 12, 2001 601
REVISED CAPITAL PROPOSAL FOR NONFINANCIAL EQUITY INVESTMENTS. Brief Article Mar 1, 2001 321
After Regulation FD: talking to your constituents. McCarthy, Ed Feb 1, 2001 4240
SEC bans selective disclosure. Oct 1, 2000 575
IT'S QUIET, TOO QUIET. Fitzgerald, Mark Brief Article Aug 7, 2000 505
Deconstructing section 11: public offering liability in a continuous disclosure environment. Langevoort, Donald C. Jun 22, 2000 13971
The Super Shareholder Settlement. SMITH, BRIAN L. Statistical Data Included Mar 1, 2000 1195
Insider trading: the "possession versus use" debate. Schoen, Karen Nov 1, 1999 23856
CCR Comments on SEC's Regulation of Securities Offerings. Sep 1, 1999 186
The 'Aircraft Carrier' and director liability. Ferrara, Ralph; Bowman, Craig A. Jun 22, 1999 787
A case-by-case approach to pleading scienter under the Private Securities Litigation Reform Act of 1995. Roskoski, Matthew Jun 1, 1999 15673
Stock buybacks: the rules. McCarthy, Ed May 1, 1999 3393
Executive compensation and the misplaced emphasis on increasing shareholder access to the proxy. Marino, Lori B. May 1, 1999 22019
Sen. Gramm to look at derivatives. Mar 1, 1999 425
Insider trading liability and enforcement strategy. Arshadi, Nasser Jun 22, 1998 10235
Liability under securities law. Baliga, Wayne May 1, 1998 835
Forays on the governance frontier. Armstrong, J. Sinclair Sep 22, 1997 2305
Realizing the re-emergence of the Chinese stock market: fact or fiction? Vandevelde, Ann P. May 1, 1997 15020
Accountant liability from a state law perspective. Stara, Nancy; Engler, Timothy Jan 1, 1997 2007
SEC Advisory Committee issues report on capital formation, calls for more intensive disclosure. Nov 1, 1996 532
New securities bill could streamline regulations for investment advisers. Brief Article Aug 1, 1996 524
NASD panel revises arbitration rules. Brief Article Apr 1, 1996 395
Congress focuses on changes in securities laws. Dotson, Betsy Oct 1, 1995 1754
SEC reduces reporting requirements for U.S. and foreign registrants. Brief Article Apr 1, 1995 250
The obsolescence of Wall Street: a contextual approach to the evolving structure of federal securities regulation. Seligman, Joel Feb 1, 1995 27171
The new SEC disclosure rule 15c-12: questions and answers. Feb 1, 1995 5445
U.S. Court of Appeals says accountants can be liable under securities law. Baliga, Wayne Jan 1, 1995 538
Gaining a new balance in the courts: some of the liability burden has disappeared - but a heavy weight remains. Rockness, Joanne W. Aug 1, 1994 2908
Comfort letters: how does SAS 72 affect them? Mancino, Jane M. Dec 1, 1993 2534
Nonlapse restrictions. Cvach, Gary Q. Jun 1, 1993 596
Litigation reform bills introduced; drive for passage builds. Nov 1, 1992 577
Coalition urges litigation reform. Brief Article Aug 1, 1992 223
Mortgage-backed securities. Feb 1, 1991 1140
Second class of stock rules for S corporations. Fiore, Nicholas J. Jan 1, 1991 714

Terms of use | Privacy policy | Copyright © 2021 Farlex, Inc. | Feedback | For webmasters |