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| 1 | Counsel to Counsel Magazine -- September 2008 Complete Issue September 3, 2008 President's Letter: In challenging financial times, it can be instructive to look to companies that have weathered economic cycles through the course of decades. They possess traits that have allowed them to endure and flourish, where others have fallen by the wayside. |
| 2 | Upcoming Expiration of Shelf Registration Statements: Avoiding a Blackout Period Morrison & Foerster LLP; September 5, 2008, previously published on August 25, 2008 As amended by the Securities and Exchange Commission (the "SEC") in its 2005 Securities Offering Reform rulemaking, Rule 415(a)(5) limits the offer and sale of certain securities registered on a shelf registration statement to a three-year period. |
| 3 | Extension of the UK Statutory Regime for Liability of Issuers of Securities Peter J. Green, Jeremy Jennings-Mares; Morrison & Foerster MNP; September 5, 2008, previously published on August 27, 2008 In January 2007, in response to the Transparency Directive, the UK's Financial Services and Markets Act 2000 (FSMA) was amended by the insertion of section 90A so as to introduce a statutory civil liability regime for untrue or misleading statements in all periodic disclosures made to the market by... |
| 4 | FINRA Proposes New Rule 5122 to Govern Member Private Offerings Julie M. Allen, Allan R. Williams, Stuart Bressman; Proskauer Rose LLP; September 4, 2008, previously published on August 2008 The Financial Industry Regulatory Authority, Inc. ("FINRA," formerly known as the "NASD") filed with the U.S. Securities Exchange Commission ("SEC") on June 5, 2008 a proposed rule change to adopt new FINRA Rule 5122 (the "Rule"). |
| 5 | Short Positions and Reporting Obligations for Holders of UK-Listed Securities Steven David Lofchie, Alix Prentice, Tom O'Riordan; Cadwalader, Wickersham & Taft LLP; September 4, 2008, previously published on August 11, 2008 In light of an announcement by the UK Financial Services Authority (FSA) of 13 June 2008 of a new requirement publicly to disclose certain short positions and its Policy Update on the disclosure of positions in contracts for differences published on 2 July 2008, this briefing is intended to be both... |
| 6 | SEC Provides Guidance on the Use of Company Web Sites Troy M. Calkins, Kimberly K. Rubel, Jae En Kim; Drinker Biddle & Reath LLP; September 2, 2008, previously published on August 2008 On August 1, 2008, the Securities and Exchange Commission published an interpretive release, Commission Guidance on the Use of Company Web Sites, Release No. 34-58288, discussing the use of corporate web sites for disclosures under the Securities Exchange Act and the antifraud provisions of the... |
| 7 | The quiet period in the Brazilian securities market Elaine de Paula Palmer, Daniella Ventura; Barbosa, Müssnich & Aragão; September 2, 2008 Created in the second half of the 1970s by Law 6.385/76, the Brazilian Securities Commission, or Comissão de Valores Mobiliários ("CVM"), was given powers to regulate, supervise and sanction market agents. Among the CVM's responsibilities, article 4 of Law 6.835/76 establishes the... |
| 8 | SEC Announces Auction Rate Securities Settlements Amy Y. Yeung; Wilmer Cutler Pickering Hale and Dorr LLP; August 29, 2008, previously published on August 2008 The SEC recently announced several preliminary settlements in principle with certain brokerage firms pertaining to auction rate securities. Each plan includes providing liquidity to certain purchasers of auction rate securities. |
| 9 | SEC Web Site Guidance Recognizes Today's Internet Michael J. Schewel, Richard W. Viola, LaTisha O. Chatman, David H. Pankey, Fred T. Isaf, Jane Whitt Sellers, David W. Robertson, Benjamin E. Ladd, Lawrence R. Samuels, Halcyon E. Skinner; McGuireWoods LLP; August 30, 2008, previously published on August 25, 2008 Recognizing the evolving nature of the internet and that investors now generally have access to the internet, the Securities and Exchange Commission (the "SEC") recently issued an interpretive release (Release No. 34-58288, the "Release") to provide additional guidance on a... |
| 10 | When Finders Aren't Keepers: Understanding and Mitigating Risks Related to Unlicensed Brokers Matthew Kuhn, Jonathan R. Zimmerman; Faegre & Benson LLP; August 29, 2008, previously published on August 22, 2008 So-called "finders" of capital play an important role in capital markets. They are critical to many small businesses raising early-stage funding in amounts too small to attract venture capital or licensed broker-dealers. They also are a vital part of the private investment in public... |
