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Searching Content indexed under Investment Strategy by McDermott Will & Emery ordered by Published Date Descending.
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1
SEC Adopts Final Definition Of "Family Offices" Exempt From Investment Advisers Act
On June 22, 2011, the Securities and Exchange Commission (SEC) adopted its final rule (the Family Office Rule) under the Investment Advisers Act of 1940 (the Advisers Act) defining the term "family office" for purposes of the Advisers Act exemption of family offices from the definition of an "investment adviser."
United States
22 Sep 2011
2
SEC Proposes Family Office Definition
The SECís proposed rule under the Dodd-Frank Act defining which family offices will be exempt from regulation as investment advisers raises many questions requiring close attention.
United States
15 Nov 2010
3
Dodd-Frank Wall Street Reform and Consumer Protection Act: Immediate Impact on Regulation D Offerings to Individual Accredited Investors
On July 15, 2010, the U.S. Senate passed the Dodd-Frank Wall Street Reform and Consumer Protection Act (Act). President Obama is expected to sign the Act into law during the week of July 19, 2010.
United States
20 Jul 2010
4
U.S. Department of Labor Issues Updated Proposed Investment Advice Regulations
The Department of Labor has issued new proposed regulations for the provision of investment advice to participants in individual account plans and owners of IRAs.
United States
20 Jul 2010
5
Proposed Changes to Section 1202 Seek to Introduce a Temporary Full Exclusion for Gain from Disposition of Certain Small Business Stock
The proposed changes to the Internal Revenue Code section 1202 could increase interest in investments in small business stock.
United States
20 Apr 2010
6
Fairness Opinions In The SPAC Context
Fairness opinions issued in connection with SPAC transactions present several significant issues that financial advisors and their counsel should take into account when drafting fairness opinions.
United States
13 Mar 2009
7
The SEC v. Mark Cuban Insider Trading Case
On November 17, 2008, the U.S. Securities and Exchange Commission (SEC) filed a civil complaint against entrepreneur and Dallas Mavericks' owner Mark Cuban alleging that he engaged in insider trading in 2004.
United States
13 Jan 2009
8
The Nonprofit Investment Committee In Tough Times
Investment committees of nonprofit corporations will feel the effects of the evolving market conditions.
United States
27 Nov 2008
9
SEC Provides New Limitations On Sales Of Asset-Backed Securities
The proposed rules would remove the ratings requirements for Form S-3 shelf registrations of such securities and limit the offering of such securities to "qualified institutional buyers;" the SEC will accept comments for 90 days.
United States
11 Jul 2008
10
Monetizing Medical Device Research
The world is witnessing the big bang of scientific discovery in the medical device sector. While historians point to the impressive advances made in the medical sciences during the twentieth century, experts project that the pace of discovery will quadruple in the next twenty-one years.
United States
9 Nov 2006
11
U.S. Court Strikes Down SECís Hedge Fund Rules
On June 23 a three-judge panel of the U.S. Court of Appeals for the District of Columbia Circuit unanimously invalidated the U.S. Securities and Exchange Commissionís (SEC) hedge fund rules.
United States
 
6 Jul 2006
12
New Rules May Require Some Investment Advisers to Register With The SEC for the First Time
In December 2004 the Securities and Exchange Commission (SEC) adopted new regulations and related interpretive positions that will require certain investment advisers to register with the SEC for the first time under the Investment Advisers Act of 1940 (the Advisers Act).
United States
14 Oct 2005
13
Federal Reserve Rule Regarding Capital Treatment of Trust Preferred Securities
The Federal Reserve Board (the Fed) has adopted a rule that would continue to permit trust preferred securities (which are cumulative)1 to be treated as Tier 1 capital; however, the rule subjects these securities to stricter quantitative limits than under current Fed policy.
United States
2 Jun 2005
14
Proposed Self-Referral Ban Casts Chill on Specialty Hospitals
With less than month before the June 8, 2005, expiration of the specialty hospital moratorium, Senators Grassley (R-IA) and Baucus (D-MT), Chairman and ranking Democrat on the Senate Finance Committee, respectively, introduced a bill on May 11, 2005 that would permanently extend and substantially expand the current self-referral ban.
United States
23 May 2005
15
Nasdaq Adopts Changes to Corporate Governance Exemption Process
The NASDAQ Stock Market, Inc. (NASDAQ) has adopted changes to NASD Rule 4350 to permit foreign private issuers to follow their home country corporate governance practices rather than certain practices prescribed by Rule 4350 without first seeking an exemption from NASDAQ. These modifications went into effect on March 3, 2005.
United States
27 Apr 2005
16
The ECJ Interprets The Database Sui Generis Right
On the 9 November 2004, the ECJ handed down its decisions in four cases dealing with the database sui generis right (Fixtures Marketing v Veikkaus, Fixtures Marketing v OPAP, Fixtures Marketing v Svenska Spel and The British Horseracing Board v William Hill).
UK
27 Jan 2005
17
Impact Of SECís Proposal To Register Hedge Fund Investment Advisers On The UK And Europe
Many investment advisers to hedge funds and other investment funds currently qualify for exemption from registration as an investment adviser under the Investment Advisers Act of 1940 (Advisers Act).
United States
26 Oct 2004
18
DOL Final Regulation Requires Amendment To Automatic Cash-Out Provisions
On September 28, 2004, the U.S. Department of Labor (DOL) issued a final regulation allowing plan fiduciaries to satisfy their fiduciary responsibilities regarding the automatic rollover to individual retirement accounts (IRAs) of certain mandatory distributions.
United States
21 Oct 2004
19
Recent Changes in SECís Regulation of Investment Advisers
During the past 12 months, the U.S. Securities and Exchange Commission (SEC) has significantly revised its regulation of investment advisers.
United States
20 Sep 2004
20
EU Council of Ministers Approves Merger Law
On January 20, 2004, the European Union Council of Ministers approved Council Regulation No. 139/2004 EC Merger Regulation (ECMR), a new merger law that became effective on May 1, 2004, concerning the control of concentrations between undertakings. This new regulation, which replaced Regulation 4064/89, increases the powers of the commission to review and block transactions that have a European Community scope. It also introduces more flexibility to the notification review process.
United States
16 Sep 2004
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