Securities Law 
Japan’s Nomura to cut executive pay over leaks – YAHOO!
“Rigorous measures will be taken in line with the law,” Financial Services Minister Tadahiro Matsushita … action against a foreign company for insider trading. The probes by the Securities and Exchange Surveillance Commission have also focused on share …
State Regulators in U.S. Examine Structured Note Sales – Bloomberg
In June 2011, Georgia subpoenaed UBS AG, Morgan Stanley and Ameriprise Financial Inc. in its probe over whether the firms broke the state’s securities laws in selling structured notes called reverse convertibles. The securities are short-term …
Marriott Vacations Worldwide Completes First Securitization of Vacation Ownership Loans as an Independent Public Company – MSN Money
The Notes were offered in a private placement within the United States to qualified institutional buyers pursuant to Rule 144A and outside the United States in accordance with Regulation S under the Securities Act of 1933, as amended.
In Case Against Philip Falcone, a Warning to Others – New York Times
And investors were certainly kept in the dark about his actions. But whether these add up to a securities law violation may be an issue because the S.E.C. will have to show that Mr. Falcone intended to defraud investors, not … Continue reading
Bureau of Securities Commences Regulation of Additional Investment Advisers – Cape May County Herald
“Financial fraud remains a threat to investors in the post-Bernie Madoff world. We have a robust Bureau of Securities, able to act on alleged fraud through its in-house staff of investigators,” said Eric T. Kanefsky, Acting Director of the State … Continue reading
Law Offices of Todd M. Garber Announces Investigation of Tempur-Pedic International, Inc. – Yahoo Finance
The Law Offices of Todd M. Garber announces that it is investigating potential claims against Tempur-Pedic International, Inc. (“Tempur-Pedic” or the “Company”) (TPX) concerning possible violations of federal securities laws. The …
Schapiro: SEC will miss a JOBS act deadline – Marketwatch
WASHINGTON (MarketWatch) – The Securities and Exchange Commission will miss a deadline … The provision is part of the JOBS act, which seeks to ease access to capital formation for small businesses.
Lloyds TSB Bank PLC 38ZT Tender Offer – EUR and GBP securities – Bloomberg
Each intermediary must comply with the applicable laws and regulations concerning information duties vis-à-vis its clients in connection with the Securities or the Offers. Switzerland Neither this announcement, Tender Offer Memorandum nor any …
Lloyds TSB Bank PLC 38ZT Tender Offer – USD securities – Bloomberg
The above dates and times are subject, where applicable, to the right of the Issuer to extend, re-open, amend, and/or terminate the Offers, subject to applicable laws. Holders of Securities are advised to check with any bank, securities broker …
CGI to Deliver Enterprise-Wide Cloud Solutions to the U.S. Environmental Protection Agency as Part of the Agency’s IT Modernization Strategy – Yahoo Finance
and Section 21E of the United States Securities Exchange Act of 1934, as amended, and are “forward-looking information” within the meaning of Canadian securities laws. These statements and this information represent CGI’s intentions, plans …
