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• Trends in the Canadian Mining Sector ( June 2005 )
  

  Worldwide exploration budgets rose to $3.5 billion in 2003, up 13% from 2002. The main recipients of increased exploration spending by companies were: Canada ($170 million); South Africa ($90 million); Mexico ($30 million); and Ghana, the United States and Venezuela, ($20 million each).

• International Investors’ Rights and Remedies ( April 2006 )
  

  The globalization of markets, the internationalization, merger and consolidation of major investment firms, the joinder of commercial and investment banking and the interest of international public investors in utilizing the services of reputable, brand-name brokers, has contributed to a concomitant increase in customer claims filed in arbitration by both domestic and international investors. [FN1] Yet, in practice, very few defrauded international investors who do business with United States securities and commodity futures firms through branch offices based both outside of and within the U.S., appear to be aware of their rights and remedies.

• Arbitration Showdown ( July 2003 )
  

  Financial planners may have to defend themselves against a whole range of client claims. However, all disputes originate from one or more of five key failings: failure to know and understand the client, failure to make full and timely disclosure of material information, failure to make a contemporaneous record of events, failure to supervise staff adequately, and failure to anticipate problems. Advisers who grasp these implications will spend more time working with satisfied clients and less time involved in expensive arbitration proceedings.

• Taking the Long View on IPO's: Getting there and beyond ( August 2004 )
  

  The last several months have seen a dramatic turn-around in the market for initial public offerings in the U.S. by Chinese companies. Companies such Linktone Ltd., which Morrison & Foerster LLP represented in its global IPO and continues to represent in ongoing compliance and corporate work, have recently raised significant money on Nasdaq or the New York Stock Exchange and received significant press coverage worldwide.

• The Application Of Business & Professions Code §17200 To Securities Transactions --Will Bowen v. Ziasun Technologies Survive? ( June 2004 )
  

  The California Court of Appeal decision in <i>Bowen v. Ziasun Technologies, Inc.</i> imposed a significant new limitation on the scope of California Business and Professions Code §17200, holding that the statute does not apply to "securities transactions." The <i>Bowen</i> opinion purported to be a case of first impression, however it was handed down in the wake of a large body of cases from other states addressing whether their own unfair competition laws apply to securities claims, and a number of federal cases discussing the overlap between 17200 and the federal securities laws. Far from being the last word, <i>Bowen</i> reflects a split of authority on the application of 17200 to securities transactions. This article will briefly review the reasoning of the <i>Bowen</i> opinion and attempt to identify the arguments future courts and litigants may rely on to support or oppose the application of 17200 to securities transactions.

• NASD Arbitration of Securities Disputes ( January 2004 )
  

  Since 2000, new case filings with National Association of Securities Dealers ("NASD") Dispute Resolution, Inc. are increasing at record levels.

• Final NYSE and Nasdaq Corporate Governance Listing Standards Approved; Comparison Chart Updated ( November 2003 )
  

  On November 4, 2003, the Securities and Exchange Commission (Commission) approved significant changes to the listing standards of the New York Stock Exchange (NYSE) and the Nasdaq Stock Market (Nasdaq) that are intended to enhance corporate governance and bolster investor confidence following a number of well-publicized corporate failures among U.S. public companies. These listing standard changes are the culmination of nearly two years of deliberations among the Commission, NYSE and Nasdaq.

• Corporate Governance Seminar. Seminar Summary of Speaker Jeffrey Knetsch of Brownstein Hyatt & Farber ( October 2003 )
  

  Jeffrey Knetsch, partner at Brownstein Hyatt & Farber, discussed the importance of the new attorney rules of conduct for securities lawyers at FindLaw Corporate Counsel Center's Corporate Governance seminar at Stanford University.

• Arbitration for the Uninitiated ( October 2003 )
  

  A record number of new cases have been filed with the National Association of Securities Dealers Dispute Resolution since 2000. The NASD is the leading private-sector provider of financial regulatory services. Nearly all securities firms in the United States are members of this private not-for-profit organization. The NASD establishes rules to govern the conduct of its members, registers firms, conducts compliance examinations, and disciplines members that fail to operate in accordance with its regulations.

• Shareholder Approval for Equity Compensation Plans ( September 2003 )
  

  On June 30, 2003, the Securities and Exchange Commission issued an order approving amended proposals by the New York Stock Exchange and Nasdaq Stock Market, Inc., which each expand significantly the need to obtain shareholder approval for the adoption or amendment of equity compensation plans.