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Searching Content indexed under Corporate and Company Law by Robert Treuhold ordered by Published Date Descending.
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Family Offices Included As ‘Investment Advisers' Under IPO Allocation Rule 5131(b)
On May 9, 2017, the Financial Industry Regulatory Authority, Inc. issued an interpretive letter regarding its IPO allocation rule 5131(b) and its exception 5131.02(b).
United States
16 Aug 2017
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Governance & Securities Law Focus: Latin America Edition - February 2015
This newsletter provides a snapshot of the principal US and selected global governance and securities law developments during the fourth quarter of 2014 that may be of interest to Latin American corporations and financial institutions.
United States
9 Feb 2015
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Court Upholds SEC Rule on Conflicts Minerals
On July 23, 2013, the US District Court for the District of Columbia found "no problems with the SEC’s rulemaking" by its adoption of the Conflict Minerals Rule pursuant to Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank").
United States
26 Jul 2013
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