• EIA: Securities
 
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EIA: Securities  Category

   
Amgen: One Step Closer to Re-Examining the Fraud-On-the-Market Presumption of Reliance (PDF)

Amgen: One Step Closer to Re-Examining the Fraud-On-the-Market Presumption of Reliance (PDF)

A discussion of the Supreme Court decision in Amgen Inc. v. Connecticut Retirement Plans.

$57.00
Capital Markets Relief: JOBS (Jumpstart Our Business Startups) Act Eases Regulatory Barriers to IPOs and Other Capital Raising Alternatives (PDF)

Capital Markets Relief: JOBS (Jumpstart Our Business Startups) Act Eases Regulatory Barriers to IPOs and Other Capital Raising Alternatives (PDF)

On April 5, 2012, the President signed into law the Jumpstart Our Business Startups (JOBS) Act (H.R. 3606), which incorporates several initiatives aimed at easing the regulatory burdens of traditional IPOs and private placements and generally facilitating access to the capital markets.

$57.00
CFTC Re-Imposes Limitations on Derivative Activities by Registered Investment Companies (PDF)

CFTC Re-Imposes Limitations on Derivative Activities by Registered Investment Companies (PDF)

Amended Rule 4.5 will require the operators of Registered Funds to either limit such Funds' use of commodity futures, options, leverage contracts, retail forex contracts, and swaps (together, "commodity interests") or submit to dual regulation by the CFTC and the Securities and Exchange Commission ("SEC").

$57.00
CFTC Rescinds Widely Used Private Fund Manager Exemption from Commodity Pool Operator Registration, but Retains De Minimis Exemption (PDF)

CFTC Rescinds Widely Used Private Fund Manager Exemption from Commodity Pool Operator Registration, but Retains De Minimis Exemption (PDF)

On February 8, 2012, the Commodity Futures Trading Commission ("CFTC" or "Commission") issued final regulations that repeal the commodity pool operator ("CPO") registration exemption widely used by the operators of private funds offered only to highly sophisticated investors (commonly called "qualified purchaser funds" or "Section 3(c)(7) Funds").

$57.00
CFTC Staff Responds to FAQs Regarding Rescission/Modification of CPO/CTA Registration Exemptions (PDF)

CFTC Staff Responds to FAQs Regarding Rescission/Modification of CPO/CTA Registration Exemptions (PDF)

Examines the CFTC's response to FAQs Regarding Rescission/Modification of CPO/CTA Registration Exemptions.

$57.00
 
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