September 30, 2014

Securities, SEC, & Financial Institution Law News

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The National Law Review is a free resource of articles addressing legal issues related to the financial services and securities industries. Legal topics addressed include: financial regulatory, compliance, debt finance, broker-dealer, insolvency and restructuring, investment management and structured transactions. Details of actions by state and local governments, and by other governmental agencies as well as mediation and arbitration and civil actions from across the U.S. are added daily.

Date Title Organization
30
Sep
Public Company Accounting Oversight Board (PCAOB): Selected Auditing Developments Drinker Biddle & Reath LLP
30
Sep
SEC Charges Public Companies and Insiders with Violating Stock Ownership Reporting Requirements Andrews Kurth
30
Sep
Energy and Environmental Law Update - September 29, 2014 Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
30
Sep
SEC Announces Highest Whistleblower Award to Date Drinker Biddle & Reath LLP
30
Sep
Judgment Creditors No Longer Entitled to Blanket Personal Property Judicial Liens in Wisconsin von Briesen & Roper, S.C.
30
Sep
Africa Sees Opportunities in Islamic Finance Covington & Burling LLP
30
Sep
Cyber Liability Insurance: Where’s the Beef? Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
30
Sep
Business Breathes a Sigh of Relief as Scotland Votes “No”, but Uncertainties Remain Covington & Burling LLP
30
Sep
California Governor Signs Bill Narrowing Grounds for Business Entity Reinstatement Allen Matkins Leck Gamble Mallory & Natsis LLP
29
Sep
Recent Remarks By Officials Reinforce DOJ’s Focus On Criminal Fraud Investigations And Prosecutions Of Culpable Individuals Sheppard, Mullin, Richter & Hampton LLP
29
Sep
What’s New? Highlights from the Federal Register September 2014 Sheppard, Mullin, Richter & Hampton LLP
29
Sep
SEC’s “Gatekeeper” Enforcement Initiative Impacts Directors Drinker Biddle & Reath LLP
29
Sep
Can Regulation A+ Deliver on JOBS Act Capital Efficiency Promises? Drinker Biddle & Reath LLP
29
Sep
The “Bad Actor” Rule: SEC and Dodd-Frank Act Drinker Biddle & Reath LLP
29
Sep
Peregrine; Smoot-Hawley; Unauthorized Swap Trades; Ontario Exemptions; Father and Son Sanctioned Together - Bridging the Week: September 22 to 26 and September 29, 2014 Katten Muchin Rosenman LLP
29
Sep
SEC Awards $30 Million to Overseas Whistleblower Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
29
Sep
A Cautionary Tale for Companies With Potential False Claims Act Exposure Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
29
Sep
1, 2 or 3 Years? How Should Boards Decide The Frequency Of Say-On-Pay Votes? Allen Matkins Leck Gamble Mallory & Natsis LLP
29
Sep
OECD/Base Erosion and Profit Shifting (BEPS) Intangibles Revisions to Change Character, Treatment of Goodwill McDermott Will & Emery
28
Sep
London Metal Exchange Provides Revised Guidance on Structure, Terminology and Order Execution Katten Muchin Rosenman LLP

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Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
Drinker Biddle & Reath LLP
Allen Matkins Leck Gamble Mallory & Natsis LLP
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.

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