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Copyright 2015. All rights reserved.
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10.05.18
US Securities Law Digest: May 2018
Digest
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6.04.18
US Securities Law Digest: February 2018
Reports
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14.09.16
A Decade-in-Review
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Events
Events
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1 Apr 2015
The Launch of the Forum’s US Securities Law & Capital Markets Glossary.
Please join us for drinks and canapés to celebrate the publication of the Forum's long-awaited International Capital Markets Glossary. The printing of the Glossary has been generously sponsored by
RR Donnelley
.
Popular Articles
Reports
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4 May 2012
Investment Company Act Section 3(c)(7) Model Procedures for Equity Issuances in the London Capital Markets.
These model procedures (the “London Equity Procedures 2012”) for equity issuances in the London capital markets under Section 3(c)(7) (“Section 3(c)7)”) of the Investment Company Act of 1940, as amended (the “Investment Company Act”) contain procedures designed specifically for the London capital markets that may be used by non-U.S. investment companies seeking exemption from registration ...
Updates
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17 Feb 2015
SEC FAQs on Rule 15a-6 and Foreign Broker-Dealers.
Recently, a set of Frequently Asked Questions (FAQs) was released by the staff of the Securities and Exchange Commission’s Division of Trading and Markets regarding Rule 15a-6 and foreign broker-dealers. Rule 15a-6 under the Securities Exchange Act of 1934 provides conditional exemptions from broker-dealer registration (including chaperoning) for foreign broker-dealers that engage in certain specified ...
