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New SEC FAQs On Emerging Growth Companies
On May 3, 2012, the SEC issued additional FAQs (Questions 18-41) on Title I (IPO on Ramp) of the JOBS Act.
United States
11 Jun 2012
2
Up To Date: Current Developments In Securities Laws - May 2012
Title IV of the Jumpstart Our Business Startups Act (JOBS Act) directs the SEC to write regulations providing for an exemption from Securities Act registration.
United States
11 Jun 2012
3
Reporting Thresholds Under New Form PF for Registered Investment Advisers Managing Hedge Funds, CLOs And CDOs
CDO and CLO Managers are assessing reporting requirements under Form PF, jointly promulgated by the SEC and the CFTC as required under the Dodd-Frank Act.
United States
23 Nov 2011
4
SEC Proposes Amendments To Investment Adviser Custody Rules
On May 27, 2009, the Securities and Exchange Commission (the “SEC”) proposed amendments to Rule 206(4)-2 under the Investment Advisers Act of 1940 (“Advisers Act”) which governs custody arrangements for registered investment advisers (“Rule 206(4)-2”).
United States
30 Jun 2009
5
SEC Issues Guidance On The Use Of Company Web Sites
In August 2008, the Securities and Exchange Commission published an interpretive release providing guidance on the use of company web sites under the Securities Exchange Act of 1934 and the antifraud provisions of the securities laws.
United States
23 Oct 2008
6
SEC Proposes Amendments To The Investment Company Act To Reduce Reliance On Credit Ratings
In response to the subprime mortgage crisis and issues related to the quality of credit ratings utilized by money market funds to evaluate the quality of each instrument, the Securities and Exchange Commission (the "SEC") proposed amendments to its rules under the Investment Company Act of 1940
United States
18 Sep 2008
7
Fifth Circuit U.S. Court Of Appeals Holds No Private Cause Of Action For Monetary Damages Under Section 13(D) Of The Securities Exchange Act Of 1934
On May 27, 2008, the U.S. Court of Appeals for the Fifth Circuit affirmed a decision by the U.S. District Court for the Northern District of Texas, in “Motient Corp. v. Dondero et al.”, holding that there is no private cause of action for monetary damages under Section 13(d) of the Securities Exchange Act of 1934 (Exchange Act).
United States
12 Jun 2008
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