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Securities Law> Additional Offerings, Disclosure & the Securities Exchange Act of 1934> Proxies

Shareholder Proxy Solicitation Rules

As the number of shareholders in a corporation has grown and as the shareholders have become geographically dispersed, the practice of soliciting their proxies for...

Business & Corporate Entities> Corporations> Directors & Officers> Management Duties & Liabilities

Sources of Document Retention Requirements

In establishing and reviewing their document retention programs, corporations must determine their legal duty to retain documents. A review of sources of the duty to...

Business Conduct Codes

Business Conduct Codes for New York Stock Exchange and NASDAQ Listed Companies

Companies listed on the New York Stock Exchange and NASDAQ are required by New York Stock Exchange Rule 303A.10 and NASDAQ Rule...

Trademark Law

Federal False Advertising and False Designation of Origin Claims

Section 43(a) of the federal Lanham Act, 15 U.S.C.S. § 1125(a)(1), provides that a plaintiff may file false...

Closed-End Funds

The three basic types of investment companies regulated under the Investment Company Act of 1940 are closed-end funds, mutual funds, and unit investment trusts. Closed-end funds must be registered with the Securities and Exchange Commission. Such...