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1
New York Approves Nationwide Licensing Tool For Virtual Currency Business Activity Companies
New York State has taken measures this year to modernize its approach to regulation for blockchain-based companies.
United States
17 Jan 2019
2
First Punch: Floyd Mayweather And DJ Khaled Settle With SEC Over Unlawful Touting Of ICOs
The SEC recently announced its settlement of charges against boxer Floyd Mayweather and producer DJ Khaled for their failure to disclose payments they received for promoting Initial Coin Offerings (ICOs) on their social media accounts.
United States
7 Dec 2018
3
Lending & Secured Finance 2018 – Analysis And Update On The Continuing Evolution Of Terms In Private Credit Transactions
For the past seven years, The Private Credit Group at Proskauer Rose LLP has tracked deal data for private credit transactions (our "data").
United States
14 Jun 2018
4
NY Court of Appeals Clarifies What May Constitute a Binding Agreement in the Sale of Syndicated Loans
A unanimous New York Court of Appeals recently held that the acceptance of an auction bid for the sale of a syndicated loan may constitute a final and binding trade, even if there is language indicating that the agreement is "subject to" the execution of a mutually acceptable, written agreement.
United States
21 Jan 2017
5
American Realty Capital Properties To Acquire Cole Real Estate Investments For $11.2 Billion
October 23, 2013 (New York) — Global law firm Proskauer represented American Realty Capital Properties, Inc. ("ARCP") (NASDAQ: ARCP) in its definitive merger agreement to acquire Cole Real Estate Investments, Inc. ("Cole") (NYSE: COLE) in a transaction valued at $11.2 billion.
United States
28 Oct 2013
6
Congress Has Adopted Legislation To Facilitate Public And Private Capital Formation By Emerging Growth Companies
Congress passed legislation that, if signed as expected by President Obama, will allow companies to raise capital more easily in both the private and public markets.
United States
16 Apr 2012
7
Congress Passes JOBS Act – Legislation Seeks To Aid Issuers In Raising Private And Public Capital
On March 27, 2012, the U.S. Congress passed the Jumpstart Our Business Startups Act, or "JOBS" Act, with strong bipartisan support. President Obama has indicated that he will sign the legislation.
United States
9 Apr 2012
8
A Reminder: SEC Exempt Reporting Adviser Filing Due March 30 From Many U.S. And Non-U.S. Investment Advisers
The deadline for filing with the SEC as an Exempt Reporting Adviser (ERA) is March 30, 2012.
United States
20 Mar 2012
9
House Passes JOBS Act—Legislation Would Facilitate Public And Private Capital Formation By Emerging Growth Companies
The U.S. House of Representatives has passed legislation that, if approved by the Senate and enacted into law, would allow companies to raise capital more easily in both the private and public markets.
United States
19 Mar 2012
10
SEC Amends The Advisers Act Performance Fee Rule To Tighten Standards For "Qualified Clients" And Adopt "Grandfathering" Provisions
On February 15, 2012, the Securities and Exchange Commission ("SEC") adopted amendments to Rule 205-3 under the Investment Advisers Act of 1940 ("Advisers Act"), which permits SEC-registered investment advisers to charge performance-based fees to "qualified clients" under certain conditions.
United States
14 Mar 2012
11
New Short Position Reporting Regime In Hong Kong
A new reporting regime for holders of net short positions in shares traded on the Hong Kong Stock Exchange is proposed to come into effect on 18 June 2012.
Hong Kong
24 Feb 2012
12
SEC Issues No-Action Letter Regarding Registration Of Affiliates Of Investment Advisers
With the February 14 deadline for many unregistered investment advisers to submit applications for registration rapidly approaching, on January 18, 2012.
United States
26 Jan 2012
13
SEC Adopts Private Fund Risk Reporting
On October 26, 2011, the Securities and Exchange Commission (the "SEC") adopted Rule 204(b)-1 under the Investment Advisers Act of 1940 (the "Advisers Act").
United States
22 Nov 2011
14
Proposed FINRA Rule 5123: Disclosure In Private Placements
The SEC recently solicited a second round of comments on the proposed new FINRA rule governing private placements.
United States
4 Nov 2011
15
NASDAQ, NYSE And NYSE Amex Propose Stricter Listing Standards For Reverse Merger IPO Companies
Initial public offerings effected through a reverse merger, exchange offer or other non-traditional process involving a shell company have garnered increased attention by the Securities and Exchange Commission, the Financial Industry Regulatory Authority and the national listing exchanges.
United States
5 Oct 2011
16
SEC Adopts Large Trader Reporting Requirement
On July 26, 2011, the Securities and Exchange Commission ("SEC") adopted Rule 13h-1 and Form 13H.
United States
11 Aug 2011
17
Looming Potential Downgrade Of U.S. Government Securities May Require Action By Employee Benefit Plan Fiduciaries
As our Great Nation breathed what for most of us was a huge collective sigh of relief yesterday evening, President Obama and Congressional leaders finally announced a deal for emergency legislation to end the stalemate over the nation's "debt ceiling" crisis.
United States
5 Aug 2011
18
SEC Releases Final Rule Exempting Family Offices
The SEC released on June 22, 2011 its final Rule 202(a)(11)(G)-1 exempting "family offices" from registration under the Investment Advisers Act of 1940.
United States
5 Jul 2011
19
SEC Approves Final Rules Regarding Extension Of Registration Deadline And Exemptions For Private Fund Advisers
On June 22, 2011, the Securities and Exchange Commission (SEC) held an open meeting and approved final rules to implement the provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) that created exemptions from the requirement to register under the Investment Advisers Act of 1940 (Advisers Act) for advisers to venture capital funds, private fund advisers with less than $150 million in assets under management, and foreign private advisers.
United States
27 Jun 2011
20
Supreme Court Narrowly Defines Those Who "Make" Actionable Statements Under Rule 10b-5
Janus Capital Group, Inc. et al. v. First Derivative Traders, 564 U.S. __ (2011), a divided Supreme Court has limited Rule 10b-5 liability solely to "the maker" of a statement, that is, "the person or entity with ultimate authority over the statement, including its content and whether and how to communicate it.
United States
22 Jun 2011
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