Tag Securities Regulation In The United States

11 documents
2014 Director and Officer Questionnaire Update

2014 Director and Officer Questionnaire Update

Public companies may want to update their director and officer questionnaires to include questions related to the new bad actor provisions of Regulation D.
Rick Fleming Deputy General Counsel at North American Securities Administrators Association Senate Banking Committee Hearing.pdf

Rick Fleming Deputy General Counsel at North American Securities Administrators Association Senate Banking Committee Hearing.pdf

Testimony of Rick Fleming Deputy General Counsel North American Securities Administrators Association, Inc. Before the Senate Committee on Banking, Housing and…
Companies Act 1065 & Capital Markets and Service Act 2007

Companies Act 1065 & Capital Markets and Service Act 2007

ACT 125 COMPANIES ACT 1965 (REVISED - 1973) PART XII - GENERAL DIVISION 2 - OFFENCES Section 368. Frauds by officers. Every person who while an officer of a…
Richard Whitfield Brown - FINRA BrokerCheck Report

Richard Whitfield Brown - FINRA BrokerCheck Report

This report is made available by Vernon Healy, Attorneys at Law.
Imagination Technologies Announcement of Court Sanction

Imagination Technologies Announcement of Court Sanction

Imagination Technologies buyout by Canyon Bridge - Announcement of Court Sanction in the UK - legal document originally found on Imagination Technologies' website…
Industry Prof Pra

Industry Prof Pra

INDUSTRY PROFILE NVESTMENT IN INDIAN MARKET India is believed to be a good investment despite political uncertainty, bureaucratic hassles, and shortages of power…
SSRN-id1396353

SSRN-id1396353

University of Denver Sturm College of Law Legal Research Paper Series Working Paper No. 09-10 CORPORATE GOVERNANCE AND CORPORATE DISCLOSURE J. Robert Brown, Jr.…
Dodd- Frank Whistleblower Provision

Dodd- Frank Whistleblower Provision

A research paper that explores the administrative rulemaking process for a provision in the Dodd-Frank financial reform legislation that required the Securities &…
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