Corporate Finance
David Woollcombe,John Osler,Patrick Boucher and Michael Urbani of McCarthy Tetrault
The year 2004 saw a continuation of the very strong Canadian income fund market, with approximately 35 new income funds taken public. The market for cross-border income funds using innovative structures designed to solve the complexities of cross-border tax issues has been slower to take off than was predicted last year.
Securities Law Liabilities In Employee Stock Options
Timothy E. Hoeffner and Timothy A. Greensfelder of Weil, Gotshal & Manges LLP
This article reviews whether an employee option-holders has federal securities law claims against their employer akin to the claims possessed by the company's public stock holders.
Securities Registration: The SEC Cracks Down on Directed Share Programs
Allison A. Bennington,Alan K. Austin and Dorrian Porter of Wilson Sonsini Goodrich & Rosati
This article summarizes how the SEC is closely scrutinizing directed share programs and outlines how to properly administer these types of programs.
SEC Proposes Rules to Address Comprehensively theRegistration, Disclosure, and Reporting Requirements forAsset-Backed Securities
Nixon Peabody LLP
On April 28, 2004, the SEC proposed new and amended rules and forms for asset-backed securities. The present disclosure framework for asset-backed issuers has evolved over time from several sources, including a series of no-action letters and the filing review process. The SEC is proposing to address comprehensively the treatment of ABS and to bring a more uniform, transparent set of rules to the multitrillion dollar ABS market.
The Nuts and Bolts of Unit Investment Trusts
Laurin Blumenthal Kleiman of Sidley Austin LLP
The author acknowledges the substantial contribution of Lita M.Dwight in the preparation of this outline.
Review of Canadian Corporate Finance Law
David E. Woollcombe and John S. Osler of McCarthy Tetrault
The year 2004 saw a continuation of the very strong Canadian income fund market, with approximately 35 new income funds taken public. The market for cross-border income funds using innovative structures designed to solve the complexities of cross-border tax issues has been slower to take off than was predicted last year.
Small Business and the Securities and Exchange Commission
U.S. Securities and Exchange Commission
Guide from the Securities and Exchange Commission for small businesses which explains how to raise capital and comply with the federal securities laws.
Stoneridge Investment Partners: The Supreme Court Rejects "Scheme Liability"
Larry J. Obhof of The Federalist Society
On January 15, 2008, the Supreme Court issued its decision in Stoneridge Investment Partners LLC v. Scientific-Atlanta, Inc., a case heralded by commentators as the "most important securities case in decades." The Stoneridge decision rejects a theory of scheme liability that would have greatly expanded the universe of potential securities class action defendants.
Will ABS/MBS Launch From the Aircraft Carrier?
Jordan M. Schwartz of Cadwalader, Wickersham & Taft LLP
Background In November 1998, the Securities and Exchange Commission proposed a set of changes to the regulatio.
SEC Proposes Rules To Shut Down Non-Y2K Compliant Firms
Cadwalader, Wickersham & Taft LLP
The Securities and Exchange Commission ("SEC") recently proposed a series of new rules that would require broker-de.
Frequently Asked Questions Concerning The Plain English Rule of The U.S. Securities and Exchange Commission
Ford Lacy, P.C. of Akin Gump Strauss Hauer & Feld LLP
This article discusses the Plain English Rule of the SEC ( Securities Act Rule 421(d)) which requires issuers of securities to write the cover page (front and back, inside and outside), summary and risk factors section of prospectuses in Plain English.
SEC Posts Searchable Y2K Database On Website
Cadwalader, Wickersham & Taft LLP
The Securities and Exchange Commission ("SEC") has posted a searchable Year 2000 database on its World Wide Web sit.
Securities Alert--October 1999
Akin Gump Strauss Hauer & Feld LLP
In a release dated September 28, 1999, the SEC formally adopted new disclosure requirements for Form 20-F, the form used by foreign private issuers for registration and reporting under the U.S. Securities Exchange Act of 1934. Many of these disclosure requirements also apply to the disclosure required in prospectuses used for an offering registered under the U.S. Securities Act of 1933.
The Forgotten Trial
Randy Wilson, Attorney at Law
More often than not, the punishment phase of a trial is treated like the "stepchild".
Sarbanes-Oxley Hastily Charts New Ground in Federal Corporate Law
Robert Barker* of The Federalist Society
The Sarbanes-Oxley Act of 2002 represents a major shift in securities regulation in the United States.
SEC Extends No-Action Relief for ABS "Red Herring" Delivery
Bradley Johnson of Cadwalader, Wickersham & Taft LLP
The Securities and Exchange Commission's Division of Market Regulation has extended until December 15, 1999 its no-.
Securitization in Asia
Neil Campbell of Sidley Austin LLP
There cannot be many financing tools which have had such a roller coaster ride over the last few years as the.
Amendments to Regulation S Under the Securities Act of 1933
Coudert Brothers LLP
In February 1998, the SEC adopted amendments to Regulation S under the Securities Act of 1933 (the "Securitie.
Year 2000 Advisory
Cadwalader, Wickersham & Taft LLP
The Securities and Exchange Commission, in conjunction with the National Association of Securities Dealers, Inc., t.
The Final SEC Rule on Asset-backed Securities and Its Implications for the Candadian ABS Market
Michael K. Feldman,Simon C. Knowling,Rose Bailey and Andrew J. Beck of Torys LLP
On December 15, 2004, the U.S. Securities and Exchange Commission approved a comprehensive final rule (SEC Rule) that sets out the registration, disclosure and reporting requirements for asset-backed securities (ABS) under U.S. securities laws.
Client Alert: SEC Approves New Regulation FD
J. David Washburn of Arter & Hadden LLP
This alert provides a list of frequently asked questions concerning the New Regulation FD which become law on October 14, 2000.
New SEC Plain English Disclosure Rules
Coudert Brothers LLP
The Securities and Exchange Commission has adopted new plain English disclosure rules which become effective on Oc.