Structural Changes and the Enforcement of Listing Standards
Editor’s Note: This post is by J. Robert Brown, Jr. of the University of Denver Sturm College of Law. A few weeks ago, the NASD announced that its members had approved the planned merger of regulatory...
View ArticleFINRA Proposes Changes to Research Quiet Period
Editor’s Note: This post from Margaret E. Tahyar is based on a memorandum by Michael Kaplan and Janice Brunner of Davis Polk & Wardwell. FINRA has issued and is requesting comment on Proposed...
View ArticleProposed Amendments to Conflicts of Interest Rules in Public Offerings
Editor’s Note: This post is by Edward F. Greene of Cleary Gottlieb Steen & Hamilton LLP. The SEC has issued Release No. 34-59880 soliciting comments on proposed amendments to NASD Rule 2720 that...
View ArticleCodifying FINRA’s Front-Running Policy
Editor’s Note: The following post comes to us from Robert Buckholz, partner and co-coordinator of the Corporate and Finance Group at Sullivan & Cromwell LLP, and is based on a Sullivan &...
View ArticleSEC Division of Trading and Markets Issues Guidance on JOBS Act
Editor’s Note: Giovanni Prezioso is a partner focusing on securities and corporate law matters at Cleary Gottlieb Steen & Hamilton LLP, and former General Counsel of the Securities and Exchange...
View ArticleNew FINRA Equity and Debt Research Rules
Posted by Annette L. Nazareth, Davis Polk & Wardwell LLP, on Friday, September 11, 2015 Editor's Note: Annette L. Nazareth is a partner in the Financial Institutions Group at Davis Polk &...
View ArticleStructural Changes and the Enforcement of Listing Standards
Editor’s Note: This post is by J. Robert Brown, Jr. of the University of Denver Sturm College of Law. A few weeks ago, the NASD announced that its members had approved the planned merger of regulatory...
View ArticleFINRA Proposes Changes to Research Quiet Period
Posted by Margaret E. Tahyar, Davis Polk & Wardwell LLP, on Wednesday, October 29, 2008 Editor's Note: This post from Margaret E. Tahyar is based on a memorandum by Michael Kaplan and Janice...
View ArticleProposed Amendments to Conflicts of Interest Rules in Public Offerings
Posted by Edward F. Greene, Cleary Gottlieb Steen & Hamilton LLP, on Sunday, May 31, 2009 Editor's Note: This post is by Edward F. Greene of Cleary Gottlieb Steen & Hamilton LLP. The SEC has...
View ArticleCodifying FINRA’s Front-Running Policy
Posted by Noam Noked, co-editor, HLS Forum on Corporate Governance and Financial Regulation, on Sunday, July 1, 2012 Editor's Note: The following post comes to us from Robert Buckholz, partner and...
View ArticleSEC Division of Trading and Markets Issues Guidance on JOBS Act
Posted by Giovanni P. Prezioso, Cleary Gottlieb Steen & Hamilton LLP, on Monday, September 17, 2012 Editor's Note: Giovanni Prezioso is a partner focusing on securities and corporate law matters at...
View ArticleNew FINRA Equity and Debt Research Rules
Posted by Annette L. Nazareth, Davis Polk & Wardwell LLP, on Friday, September 11, 2015 Editor's Note: Annette L. Nazareth is a partner in the Financial Institutions Group at Davis Polk &...
View ArticleStructural Changes and the Enforcement of Listing Standards
Editor’s Note: This post is by J. Robert Brown, Jr. of the University of Denver Sturm College of Law. A few weeks ago, the NASD announced that its members had approved the planned merger of regulatory...
View ArticleFINRA Proposes Changes to Research Quiet Period
Posted by Margaret E. Tahyar, Davis Polk & Wardwell LLP, on Wednesday, October 29, 2008 Editor's Note: This post from Margaret E. Tahyar is based on a memorandum by Michael Kaplan and Janice...
View ArticleProposed Amendments to Conflicts of Interest Rules in Public Offerings
Posted by Edward F. Greene, Cleary Gottlieb Steen & Hamilton LLP, on Sunday, May 31, 2009 Editor's Note: This post is by Edward F. Greene of Cleary Gottlieb Steen & Hamilton LLP. The SEC has...
View ArticleCodifying FINRA’s Front-Running Policy
Posted by Noam Noked, co-editor, HLS Forum on Corporate Governance and Financial Regulation, on Sunday, July 1, 2012 Editor's Note: The following post comes to us from Robert Buckholz, partner and...
View ArticleSEC Division of Trading and Markets Issues Guidance on JOBS Act
Posted by Giovanni P. Prezioso, Cleary Gottlieb Steen & Hamilton LLP, on Monday, September 17, 2012 Editor's Note: Giovanni Prezioso is a partner focusing on securities and corporate law matters at...
View ArticleNew FINRA Equity and Debt Research Rules
Posted by Annette L. Nazareth, Davis Polk & Wardwell LLP, on Friday, September 11, 2015 Editor's Note: Annette L. Nazareth is a partner in the Financial Institutions Group at Davis Polk &...
View ArticleStructural Changes and the Enforcement of Listing Standards
Editor’s Note: This post is by J. Robert Brown, Jr. of the University of Denver Sturm College of Law. A few weeks ago, the NASD announced that its members had approved the planned merger of regulatory...
View ArticleFINRA Proposes Changes to Research Quiet Period
Posted by Margaret E. Tahyar, Davis Polk & Wardwell LLP, on Wednesday, October 29, 2008 Editor's Note: This post from Margaret E. Tahyar is based on a memorandum by Michael Kaplan and Janice...
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