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Searching Content indexed under Securities by Julianne Nguyen ordered by Published Date Descending.
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Second Circuit Holds Facebook IPO Underwriters Not Subject to Short-Swing Profit Rules
On November 3, 2016, the Second Circuit upheld the district court's ruling involving the Facebook IPO that underwriters of the IPO are not required to disgorge short-swing profits...
United States
14 Nov 2016
2
Up-C Rule 144 Relief
On November 1, 2016, the SEC issued a no-action letter with respect to the required Rule 144 holding period after the exchange of partnership interests in an umbrella operating partnership...
United States
10 Nov 2016
3
Massachusetts Securities Division Searches For Rogue Brokers
According to news reports, the Massachusetts Securities Division (the "Division") recently sent a "sweep letter" to firms asking broker-dealers to report information about their hiring policies and procedures.
United States
14 Jun 2016
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