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Mayer Brown Free Writings + Perspectives

Capital Markets Insight: How to Know When You Need a Temporary CUSIP Number for Reopenings

Mayer Brown Free Writings + Perspectives on

If you are involved in issuing or trading securities, you are familiar with CUSIP numbers, the ninedigit alphanumeric codes that identify specific securities in the United States and Canada. What you may not know is that...more

Katten Muchin Rosenman LLP

SEC Division of Examinations Highlights Common Deficiencies in Registered Investment Company Core Examination Areas

Katten Muchin Rosenman LLP on

On November 4, the Securities and Exchange Commission's (SEC) Division of Examinations (Division) published an analysis of the most common deficiencies identified across its three core registered investment company (RIC)...more

Proskauer - Regulatory & Compliance

SEC Sued Over New Short Sales and Securities Lending Disclosure Rules: Second Lawsuit Filed This Year in 5th Circuit Challenging...

Proskauer - Regulatory & Compliance on

The SEC has been sued again in the U.S. Court of Appeals for the Fifth Circuit, on the heels of that Court’s recent invalidation of the SEC’s newly-minted corporate buy-back rules. The new legal action asks the Court to...more

Adler Pollock & Sheehan P.C.

Glossary of Important Securities Regulation Terms and Definitions

Adler Pollock & Sheehan P.C. on

This Glossary is designed to provide law students taking Securities Regulation with a tool that will assist them in learning the basic language of securities law and achieve a working knowledge of the fundamental principles...more

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