Search
Searching Content indexed under Securities by Joanne M. Sur-Young ordered by Published Date Descending.
Links to Result pages
 
1  
 
Title
Country
Organisation
Author
Date
1
Top 10 Practice Tips: Registered Direct Offerings
A registered direct offering (RDO) is a public offering of securities that is sold on a best efforts basis by a placement agent that is engaged by the issuer ...
United States
7 Jan 2019
2
Top 10 Practice Tips: Lock-up Agreements
In connection with securities offerings, the underwriters or placement agents generally negotiate a lock-up agreement with the issuer, as well as with the issuer's directors, officers ...
United States
4 Jan 2019
3
Social Media Compliance Guide For Issuers, Broker-Dealers, And Advisers
The use of social media raises many securities law and compliance challenges for issuers, broker-dealers, and investment advisers.
United States
12 Jul 2018
4
Structured And Market-Linked Product News For Inquiring Minds (REVERSEinquiries: Volume 1, Issue 3)
In late May, the Federal Reserve approved the release for comment of proposed amendments to the Volcker Rule. The other four agencies that share in rulemaking authority for the rule ...
Worldwide
21 Jun 2018
Links to Result pages
 
1