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Searching Content indexed under Charges, Mortgages, Indemnities by Hillel Cohn ordered by Published Date Descending.
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SEC Issues Proposed Rules On Incentive-Based Compensation Practices For Larger Broker-Dealers And Investment Advisers
On March 2, 2011, the SEC released a proposed rule regarding incentive-based compensation arrangements at "covered financial institutions" with $1 billion or more in assets.
United States
23 Mar 2011
2
SEC Releases Study On Fiduciary Standard For Broker-Dealers
On January 21, 2011, the Securities and Exchange Commission ("SEC") released its Congressionally mandated study on the effectiveness of current legal and regulatory standards for broker-dealers and investment advisers (the "Study").
United States
13 Feb 2011
3
Delaware Court Decisions Denying Indemnification Rights Underscore Need For Carefully Drawn Indemnification Provisions
Recent decisions of the Delaware courts raise important issues for directors of Delaware corporations concerning their indemnification rights.[
United States
21 Jan 2009
4
SEC Proposes Broader Access By Foreign Broker-Dealers To U.S. Investors
Under Section 15 of the Securities Exchange Act of 1934 (the “Exchange Act”), any person engaged in the business of effecting securities transactions in the United States for his own account or the account of others is required to register with the SEC as a broker-dealer.
United States
17 Jul 2008
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