64,631 results found

Amendments to the State of Maryland’s Franchise Registration and Disclosure Law are set to go into effect on October 1, 2010.

Elad L. Roisman was sworn in as SEC Commissioner. Mr. Roisman was confirmed by the U.S. Senate on September 5, 2018.

n the recent decision of "In re Trupanion, Inc.", the Court of Chancery applied for the first time new section 204 of the Delaware General Corporation Law.

The New Year heralded important changes for Limited Liability Companies (LLCs) doing business in Florida.

The SEC Advisory Committee on Small and Emerging Companies will hold its next meeting on Wednesday, September 13, 2017 at 9:30 a.m. ET.

NFA extended relief through the end of 2022 from the requirement to conduct on-site annual inspections of branch offices and guaranteed introducing brokers.

The Board of Directors of the National Futures Association ("NFA") named Thomas Sexton to replace Daniel Roth as NFA President and CEO, effective March 1, 2017.

The NFA notified member firms of an opening on its Board of Directors from the CPO/CTA category.

As a short follow up to last week's post on the NLRB's Browning-Ferris decision redefining the Joint Employer Test, I just feel the need to mention my partner Liz Sigety contributed her insights on the potential impact to franchisees to an article from the Franchise Times

Law360, New York (December 20, 2013, 10:42 AM ET) -- Nearly a decade ago, the United States Supreme Court in Dura Pharmaceuticals Inc. v. Broudo, 544 U.S. 336, 345 (2005), emphasized that a securities fraud suit is not an investor’s insurance policy against market losses.

Section 17910 of the California Business & Professions Code requires every person who regularly transacts business in California for profit under a fictitious business name to file a fictitious business name statement.

The Fostering Innovation Act, HR 6161, was approved last week by the House Capital Markets Subcommittee.

SEC Commissioner offers cybersecurity to-do list. Institutional investor organizations seek SEC rulemaking on fee reporting by private funds. SEC disapproves CAT LLC's proposed limited liability provisions.

SEC proposes to require extensive disclosures on securities loans

SEC staff issues guidance on "spring-loaded" compensation. NY Fed launches Central Banking Innovation Center. NFA proposes amendments to financial reporting requirements for SEC-registered SDs.

Ken C. Joseph, the SEC’s Head of Investment Adviser/Investment Company Examination Program in the New York Regional Office, is set to resign after 21 years of service.

The Office of the Comptroller of the Currency and the FDIC (collectively, the "agencies") adopted a final rule that will shorten the standard settlement cycle for securities transactions...