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Category: Securities Law
Jim Hamilton\'s World of Securities Regulation - May 10, 2012
The latest JOBS Act guidance comes from the SECs Division of Trading and Markets and the Division of Investment Management. On May 7, 2012, Trading and Markets issued FA
DealLawyers.com - May 10, 2012
Allegations of Empty Voting, Vote Buying and Secret Share Accumulations: Nothing New
I found this recent Dealbook piece entitled "The Curious Case of the Telus Proxy Battle" b
Jim Hamilton\'s World of Securities Regulation - May 09, 2012
An acquiring company that breached confidentiality agreements with a target company was enjoined by the Delaware Chancery Court for four months from prosecuting a proxy contest, making an exchange or tender offer, or otherwise taking steps to acquire control of the targe
Jim Hamilton\'s World of Securities Regulation - May 09, 2012
In a letter on the proposed regulations implementing FATCA, the hedge fund industry urged the IRS to allow investment funds registered in an Financial Action Ta
Jim Hamilton\'s World of Securities Regulation - May 08, 2012
In a letter to the SEC, the Federal Regulation of Securities subcommittee of the American Bar Association urged the Commission to expand the number of accredited investors and qualified institution
Jim Hamilton\'s World of Securities Regulation - May 08, 2012
As the SEC considers the regulatory reform of money market funds, thirty-three House Members asked the Commission to consider the impact additional changes to money market funds would have on state and local governments throughout the country. In a bi-partisan
DealLawyers.com - May 08, 2012
Common Misunderstandings Regarding Fairness Opinions
Here are some interesting thoughts from Kevin Miller of Alston & Bird related to this
Jim Hamilton\'s World of Securities Regulation - May 07, 2012
In a letter to the SEC, the hedge fund industry urged the Commission to align the advertising regulations in the Investment Advisers Act with the Jumpstart Our Business Startups (
Jim Hamilton\'s World of Securities Regulation - May 07, 2012
The SECs Division of Corporation Finance on May 3, 2012 issued FAQs 18-41 for companies planning to use Title I
Jim Hamilton\'s World of Securities Regulation - May 07, 2012
The SECs Division of Corporation Finance has issued a note to Trust Indenture Act C&DI 202.01 stating that the division is considering the impact of a recent court decision. This C&DI provides
DealLawyers.com - May 07, 2012
Delaware Chancery Upholds Confidentiality Agreements and Temporarily Enjoins Hostile Bid
Here's news culled from this Richards Layton memo: In
Jim Hamilton\'s World of Securities Regulation - May 05, 2012
As part of the SECs broad examination of investment company use of derivatives, Senator Carl Levin (D-MI) has urged the SEC to review the use of derivatives by some investment companies to engage in commodity trading through the securities markets in circumven
Jim Hamilton\'s World of Securities Regulation - May 05, 2012
Noting that XBRL has the potential to improve the effectiveness of financial reporting, IASB Chair Hans Hoogervorst said that XBRL has the potential to supplement the one-size-fits-all approach of todays financial statements with an à la carte menu of fin
Jim Hamilton\'s World of Securities Regulation - May 04, 2012
In a letter to SEC Chair Mary Schapiro, Senator Charles Grassley (R-Iowa) asked the Commission to detail its procedures regarding the protection of sensitive whistleblower information, including any written guidance given to SEC staff. Under the SECs current policies and p
Jim Hamilton\'s World of Securities Regulation - May 03, 2012
Effective corporate governance is composed of three key components, said UK FSA Chief Executive Hector Sants, setting the right tone from the top, a board with the skills to enable it to function effectively, and ensuring effective information flows from
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