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Category: Legal Insights
Investor Suitability Requirements for Broker Dealer Recommendations
Broker dealers may make investment recommendations to investors only if the broker dealer first determines that the recommended investment would be suitable for the investor. Suitability depends upon the investor’s...
June 20, 2014 Share This
Investment Manager Reports To Be Filed With the Securities and Exchange Commission
Institutional investment managers must report to the Securities and Exchange Commission on Form 13F those securities registered under Section 13(f) of the Securities Act of 1933 over which the investment managers exercise...
June 20, 2014 Share This
Federal Regulation of Corporate Takeover Bids or Tender Offers
Traditionally, proxies of shareholders of corporate takeover targets were sought for votes in favor of the takeover. Rules were issued by the Securities and Exchange Commission to regulate the content of proxies so that...
June 20, 2014 Share This
Limitation of Liability for Design Professionals
On April 24, 2013 the Governor approved Chapter 2013-28, Committee Substitute for Senate Bill No. 286, amending the provisions of Chapter 558, Florida Statutes (the Construction Defect Statute) to take effect on July 1, 2013....
April 24, 2013 Share This
