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Laws, regulations and rules subtopic

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1-129 out of 129 article(s)
Title Author Type Date Words
Germany allows use of blockchain in the securities sector. Dec 21, 2020 156
Germany allows use of blockchain in the securities sector. Dec 21, 2020 158
Short-term BSP securities urged. Sep 28, 2020 682
BSP set to issue 28-day securities. Sep 10, 2020 805
Law being drafted to allow government bonds to be issued. Jul 31, 2020 466
Korea's plan to foster 'Goldman Sachs' back in limbo. Jun 15, 2020 911
Insights in to Law on Securities Offerings and its Implications in Vietnamese Capital Market. Gupta, Ambrish Report Apr 1, 2020 5057
SEC bars firm from selling securities. Feb 17, 2020 301
SECP applies new regime for securities brokers. Feb 4, 2020 685
SECP applies new regime for securities brokers. Feb 4, 2020 753
SECP applies new regime for securities brokers. Feb 4, 2020 471
What Are Blue Sky Laws? Spencer Israel Jan 14, 2020 622
Southern Arc Closes First Tranche of Private Placement, Balance of Closing Subject to Shareholder Approval. Nov 1, 2019 1725
Online crowdfunding via securities in the Philippines: An overview of the rules and regulations. Jul 23, 2019 780
CBB regulates loan securities selling, giving. Mar 24, 2019 434
Securities Regulation. Van Doren, Peter Book review Mar 22, 2019 521
Building Wealth and Enjoying Passive Income. Harvey, John Jan 1, 2019 1905
THE SUBSTANCE OVER FORM DOCTRINE AND THE UP-C. Shobe, Gladriel Dec 22, 2018 10249
Qualified small business stock gets more attractive. Nitti, Tony Nov 1, 2018 12086
Anti-money laundering in the Brazilian securities market: empirical evidence and monitoring framework/ Prevencao a lavagem de dinheiro no mercado de valores mobiliarios brasileiro: evidencia empirica e framework de monitoramento/ Prevencion al Lavado de Dinero en el mercado de valores mobiliarios brasileno: evidencia empirica y marco de monitoreo. Calastro, Jose Antonio, Jr.; de Mendonca Neto, Octavio Ribeiro Sep 15, 2018 7600
SECP notifies Employee's Contributory Funds (investment in listed securities) Regulations. Jun 14, 2018 409
FRA launches electronic registry of movable securities. Mar 11, 2018 315
Parliament approves amendments to law on securities market. Mar 1, 2018 129
SECP amends Securities Brokers Regulations to reduce regulatory burden. Jan 30, 2018 411
SECP softens rules for stockbrokers. Jan 15, 2018 467
New rules for offering and listing securities in Saudi Arabia approved by Saudi CMA. Jan 14, 2018 2104
Introducing U.S. equity crowdfunding: Potential risks and tax Implications. Camp, Julia; Kuselias, Stephen Jan 1, 2018 3205
Sebi notifies norms allowing REITs, InvITs to issue bonds. Dec 30, 2017 321
SECP softens rules to increase volumes, liquidity at PSX. Dec 27, 2017 418
'Take risk, diversify a bit more in bonds next year'. Dec 6, 2017 621
Using Crowdfunding to Raise Capital for Your Franchise Business: New crowdfunding regulations now allow franchisors and franchisees to sell securities through a less rigorous process than a full securities filing but risks must be considered. Conferring with experienced legal counsel before choosing this path is recommended. Wieczorek, Samuel G. Nov 1, 2017 1078
Trading virtual currencies. Prieto, Tom Nov 1, 2017 1223
Venice commission to decide whether banknotes, army uniforms and securities should be in Albanian too. Aug 9, 2017 311
SECP approves regulations for licensing of securities, futures advisers. Apr 22, 2017 358
Accredited Investor Is an 'Artificial Distinction': SEC Acting Chair. Feb 24, 2017 894
Changing law to address changing markets: a consequence-based inquiry. Schwarcz, Steven L. Jan 1, 2017 14799
Restrictive Covenants and Whistleblowing. Nov 15, 2016 1071
Restrictive Covenants and Whistleblowing. Nov 15, 2016 1109
SECP seeks comments on regulations for licensing and operations of securities and futures' advisers. Nov 12, 2016 350
Issuing a private placement: the Securities and Exchange Commission seeks to ease the burden of Securities Act registration for small public offerings with rule amendments to Regulation A. Morse, Julie Aug 5, 2016 805
An Overview of the Issuing and Offering of Securities in Kuwait. Jul 24, 2016 1688
Securities regulators to take role in writing IFRS. Brief article Jul 1, 2016 133
Financial reporting and securities regulation resources. Anders, Susan B. Jul 1, 2016 1209
SECP introduces new regulatory regime for securities brokers. Jun 25, 2016 659
Admission of securities to on-exchange trading. May 24, 2016 405
Georgiades warns lawmakers not to pass bill offsetting bonds with loans. Apr 13, 2016 357
Kuwait: The Impact of the New CMA Regulations. Mar 27, 2016 713
How to avoid running afoul of the SEC: Part 1: the CFO as control person. Ehrlich, Craig P.; Williams, Joanne D. Mar 1, 2016 2001
Hedge Funds' Critical Role in Anti-Money Laundering. Oct 16, 2015 871
Issuing a private placement: the Securities and Exchange Commission seeks to ease the burden of securities act registration for small public offerings with rule amendments to regulation A. Morse, Julie Aug 7, 2015 803
Poe seeks inquiry on securities, investment laws. Aug 2, 2015 391
IOSCO publishes report on credible deterrence approaches in securities market regulation. Jun 17, 2015 476
Buried facts doctrine in securities regulation - What is the buried facts doctrine in securities regulation? Jan 8, 2015 901
Tax advantages for U.S. traders of securities and commodities relocating to Puerto Rico. Popov, Boris Oct 1, 2014 3761
Old problem, new solution: Wisconsin's unique segregated account law for delinquent insurers saves a major player in the financial securities space. Lynch, Matthew Jul 1, 2014 1859
Uzbekistan prepares measures for admission of non-residents' securities to national market. Mar 26, 2014 208
Deputies offer to amend law on civil service and allow civil servants to own securities. Feb 12, 2014 243
Hook stock in general. Fairbanks, Greg A. Feb 1, 2014 2239
Current developments for straddle transactions. Borghino, Jeff Feb 1, 2014 2366
Equity-based crowdfunding: recent proposed SEC rulings will make it easier for startups to access capital, sell securities. Tablas, Marieta Nov 1, 2013 481
In pari delicto defense in securities transactions. Oct 31, 2013 898
The effects of Sarbanes-Oxley Act on underwriting fees for seasoned equity offerings by Canadian cross-listed firms. Rubalcava, Arturo Sep 22, 2013 9007
Final sec. 336(e) regulations: election for qualified stock dispositions. Mittman, Matthew J. Sep 1, 2013 2715
Buying or selling C corporation stock. Ellentuck, Albert B. Sep 1, 2013 1493
-Bloomberg Law launches securities practice centre upgrades. Jul 10, 2013 313
-Bloomberg Law launches securities practice centre upgrades. Jul 10, 2013 309
Sec. 336(e) election regulations are issued. Schreiber, Sally P. Jul 1, 2013 702
SCA is reviewing rules on money transfer, securities. Jun 19, 2013 726
Investing wisely: securities commission adjusting regulations for investor protection. Kelly, Lindsay May 1, 2013 656
Qualified small business stock. Nevius, Alistair M. May 1, 2013 613
Deducting S corporation losses to extent of shareholder basis. Ellentuck, Albert B. Apr 1, 2013 1742
The LIBOR scandal and litigation: how the manipulation of LIBOR could invalidate financial contracts. Rayburn, C. Cowden W. Mar 1, 2013 10007
IRS allows sec. 338(h)(10) election made during spinoff of selling corporation. Keith, Bryan Feb 1, 2013 1858
Election results decrease likelihood of financial reporting reform. Baths, Stephen Brief article Dec 1, 2012 311
Saudi CMA warns unlicensed entities against conducting securities business. Sep 27, 2012 360
CMA warns against unauthorised securities business. Sep 4, 2012 241
CMA warns against conducting unauthorized securities business. Sep 3, 2012 308
Member of Centerra Gold Inc Board of Directors comments on situation with decrease of value of stocks. Jul 6, 2012 265
CMA further streamlines securities business. Apr 17, 2012 881
Kuwait''s CMA unveils controls for securities investment funds. Feb 12, 2012 136
Fundamentals of securities regulation, 6th ed.; 2v. Book review Feb 1, 2012 213
FSC lowers sales amount of borrowed securities. Liu, Philip Nov 22, 2011 357
Updated guidance on the determination of basis of stock in transferred basis transactions. Pineda, Rina M. Nov 1, 2011 774
Shareholder loan documentation. Wong, Alan Oct 1, 2011 889
US securities watchdog still dragging feet on key anti-corruption and transparency laws. Jul 15, 2011 400
Hedge funds must follow ethical requirements: the conviction of Raj Rajaratnam highlights several critical ethics issues concerning hedge funds. The use of expert networks to facilitate insider trading is just one example that lays bare the need for greater scrutiny to prevent unethical trading. Verschoor, Curtis C. Company overview Jul 1, 2011 1495
A new twist to an on-going debate about securities self-regulation: it's time to end FINRA's federal income tax exemption. Orenbach, Kenneth B. Jun 22, 2011 7331
Capital gain exclusion on small business stock. Smith, Patrick J.; Hechinger, Francois; Nuckolls, John M. May 1, 2011 1828
Case study: capitalizing a corporation with loans from shareholders. Ellentuck, Albert B. May 1, 2011 1383
Will SLD avoid Lehman-style legal wrangling? Feb 7, 2011 947
Sale versus loan: a current development in tax ownership? Borghino, Jeff Feb 1, 2011 1929
Speculative short sellers, put options and the weekend effect: a closer examination. Pettengill, Glenn; Gondhalekar, Vijay; Wingender, John Jan 1, 2011 13255
DFM introduces unified fluctuation band of 15 per cent up and 10 per cent down for listed securities. Dec 26, 2010 494
Stock "loans" ruled sales. Schnee, Edward J. Nov 1, 2010 1086
Increased transparency in the law on securities. Jul 21, 2010 140
The "Volcker Rule": proposals to limit "speculative" proprietary trading by banks. Report Jun 1, 2010 446
Current restrictions on proprietary trading. Report Jun 1, 2010 1924
Comparing European and U.S. securities regulations; MiFID versus corresponding U.S. regulations. Book review May 1, 2010 166
Worthless stock losses from liquidations and related issues in consolidation. White, Matthew K.; Wilder, Michael J.; Blair-Stanek, Andrew Mar 22, 2010 10482
UAE SCA board approves capital adequacy regulations for securities and commodities brokers. Jan 4, 2010 473
How alleged 'Ponzi' firm fell through regulatory cracks. Sanders, Bob Dec 18, 2009 2198
Dodd Bill imposes fiduciary standard. Postal, Arthur D. Nov 16, 2009 830
Tax the rich! Baker, Dean Sep 22, 2009 877
It beats getting sued: what every investment advisor should know about securities arbitration. Giachetti, Thomas D. Sep 1, 2009 1557
SEC rules that Calif. IOUs are securities. Jul 22, 2009 224
Capital contributions increase stock, not loan basis. Reichert, Charles J. Apr 1, 2009 710
China's holdings of U.S. securities: implications for the U.S. economy. Morrison, Wayne M.; Labonte, Marc Report Mar 1, 2009 6752
Regulatory mechanism of securities market strengthened. Feb 16, 2009 269
SEC votes 4-1 to approve Rule 151A: under rule, indexed annuities will be subject to securities regulation. Pellett, Christina Feb 1, 2009 902
Norwegian financial crimes authority charges DnB NOR Bank ASA for breaking securities trading laws. Oct 23, 2008 201
LEAD: Tokyo stocks rally on optimism over U.S. financial bailout plan. Oct 6, 2008 806
SEC report card 2007; The commission tackled proxy access, Sarbanes-Oxley refinements, terrorism ties, securities markets globalization, and other business and financial-reporting developments. How did it measure up? Ferrara, Ralph; Khoshaba Parker, Riva; Migas, Joseph J. Jun 22, 2008 3494
Collateral for loans from Norges Bank--consequences of changes in the rules. Bakke, Bjorn; Sandal, Knut; Solberg, Ingrid Apr 1, 2008 6910
Selling securities is one option for raising capital: but it comes with strings, legal and otherwise. Bromiley, J. Kevin Mar 1, 2008 1410
SB 562--Ownership or transfer of securities. Brief article Jul 1, 2007 92
TAXATION : TAXATION OF CAPITAL GAINS: NEW PROCEEDINGS AGAINST SPAIN. Brief article Oct 18, 2006 247
Basis of shares received in a reorganization. Clifton, Diane May 1, 2006 1024
EU credit rating agencies--CESR EU securities regulation. Osborn, Alan Jan 1, 2006 310
Amendments to regulation on supervision of securities business. May 1, 2005 785
Go figure: there are distortions lurking in the FASB's proposed rule for fair value measurement. King, Alfred M. Jul 1, 2004 2568
SECURITIES: COMMISSION ADOPTS MEASURES FOR PROSPECTUSES AND MARKET ABUSE. Brief Article May 1, 2004 303
SECURITIES: COMMISSION PREPARES TO UNVEIL LATEST PLAN FOR CLEARING AND SETTLEMENT. Apr 28, 2004 472
Proxy rule, pecuniary value, and proxy solicitation: evidence from TSE-listed firms (1984-2002). Yen, Gili Mar 1, 2004 389
FINANCIAL REPORTING: MEPS REJECT MANDATORY QUARTERLY ACCOUNTS. Brief Article Feb 25, 2004 110
EU/US/FINANCIAL SERVICES: SEC WANTS "COMMON APPROACHES" ON COMPANY OVERSIGHT. Jan 28, 2004 828
CESR GIVES FINAL ADVICE ON UPDATED PROSPECTUS DIRECTIVE. Jan 10, 2004 363
ENERGY: PARLIAMENT RELUCTANT TO ALTER LEGISLATION ON OIL STOCKS. Sep 27, 2003 646
Market reactions to disclosure of reportable events. Whisenant, J. Scott; Sankaraguruswamy, Srinivasan; Raghunandan, K. Mar 1, 2003 7539
FREE MOVEMENT OF CAPITAL: ECJ ADVOCATE-GENERAL DELIVERS BLOW TO COMMISSION ON GOLDEN SHARES. Feb 8, 2003 708

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