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17 Aug 2011, 4:18 am
Franks hearing denied. [read post]
16 Aug 2011, 5:08 am
" In fact, the free writing prospectus is now pretty much the only place where a credit rating can be disclosed in a securities offering, because Dodd-Frank's repeal of Rule 436(g), as a practical matter, prevents the disclosure of credit ratings in a prospectus (or report incorporated by reference into a prospectus) for the purpose of offering the security. [read post]
15 Aug 2011, 2:32 am
(c) Grandfathering. [read post]
15 Aug 2011, 2:00 am
A nonconvertible security is an ‘investment grade security’ if, at the time of sale, at least one nationally recognized statistical rating organization (as that term is used in Rule 15c3-1(c)(2)(vi)(F) under the Exchange Act (§240.15c3-1(c)(2)(vi)(F) of this chapter)) has rated the security in one of its generic rating categories which signifies investment grade; typically, the four highest rating categories (within which there may be sub-categories… [read post]
12 Aug 2011, 9:02 am
" He further explained that "[c]ompanies should expect that the SEC’s practice of involving them where appropriate will continue. [read post]
11 Aug 2011, 3:53 pm
Kathleen C. [read post]
11 Aug 2011, 11:48 am
Richard Blumenthal (D-CT), Frank R. [read post]
10 Aug 2011, 11:27 am
C. [read post]
10 Aug 2011, 9:22 am
Frank LoBiondo (R-NJ2): 112th CONGRESS 1st Session H. [read post]
9 Aug 2011, 2:00 am
Click here for the remainder of the S&C publication - Use of Credit Ratings in SEC Rules and Forms. [1] Proposed Rule: Security Ratings, Rel. [read post]
8 Aug 2011, 7:59 am
This crash was investigated by Missouri State Highway Patrol Trooper C. [read post]
4 Aug 2011, 12:38 pm
Where Congress gives a very broad stroke mandate to the SEC, as it has done under many of the Dodd-Frank authorizing provisions, the SEC effectively paints on an empty canvas. [read post]
4 Aug 2011, 5:12 am
Once inside, the Task Force apprehended Defendant-Appellant Frank Correa in a common-use stairwell, and, after a struggle, Correa informed the inspector he had a firearm. [read post]
3 Aug 2011, 3:47 pm
Dune by Frank Herbert - Sci-fi ecology mixed with cultural clash! [read post]
3 Aug 2011, 5:00 am
§ 78o-11), as added by section 941 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
2 Aug 2011, 5:11 pm
” In addition, since many fund managers had previously relied on exemptions from state registration which were conditioned on a fund manager qualifying for the federal 15-client exemption, which was repealed by the Dodd-Frank Act, they may also be required to register with their state securities commissioner. [read post]
2 Aug 2011, 1:05 am
Given the prominence of these issues, I am very happy to publish the following guest post from Anjali C. [read post]
29 Jul 2011, 4:48 am
As NYC trial lawyer Scott Greenfield and maybe others worry that writers at this site are getting soft and even, well, flitty, we will reach and try here to be frank, and forthright: The popular election of state judges is beneath: (a) you, (b) your law firm, (c) your family's dog, and (d) especially your clients, and especially if you act for businesses who trade nationally or globally. [read post]
28 Jul 2011, 2:59 pm
Wittman, Frank R. [read post]
28 Jul 2011, 6:13 am
Special thanks go to attorneys Michael C. [read post]
