March 30, 2015

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
Mar
HFTs; MF Global; Another CFTC Big Fine; ATS Breakdowns; Fed Study Assesses Clearing: Bridging the Week March 23 to 27 and 30, 2015 Katten Muchin Rosenman LLP
30
Mar
The CFPB and the Future of High-Interest Lending Morgan, Lewis & Bockius LLP
30
Mar
UK Company Director Jailed For Bribing Public Officials In Africa Squire Patton Boggs (US) LLP
30
Mar
Defray the Costs of CFPB Actions by Utilizing your Insurance Portfolio Gilbert LLP
30
Mar
Conflict Minerals Rule Weekly Recap #100 – March 30, 2015 re: SEC Legal Challenges to Conflict Minerals Rules Squire Patton Boggs (US) LLP
30
Mar
California District Court Refuses To Halt SEC Administrative Proceedings Allen Matkins Leck Gamble Mallory & Natsis LLP
29
Mar
FINRA Issues Guidance on Effective Supervision for Firms Engaging in Algorithmic Trading Strategies Katten Muchin Rosenman LLP
29
Mar
SEC Adopts Final Rules for Regulation A+ Offerings Katten Muchin Rosenman LLP
28
Mar
SEC Regulation A+: More Access to Capital for Small Companies With Less Regulation? Dinsmore & Shohl LLP
28
Mar
SEC Staff Clarifies Regulation SHO FAQ 2.5(B) on Order Marking Katten Muchin Rosenman LLP
28
Mar
FINRA Issues Notice on New Rules and Amendments Relating to Transaction-Based Compensation, Membership and Sanctions Katten Muchin Rosenman LLP
27
Mar
Third Congressional Proposal to Define Insider Trading Proskauer Rose LLP
27
Mar
Software Company to Face Suit Over Contract Restructuring Katten Muchin Rosenman LLP
27
Mar
U.S. Visa Options for Emerging Tech Entrepreneurs, Investors Greenberg Traurig, LLP
27
Mar
In Omnicare, U.S. Supreme Court Issues Landmark Securities Decision Drinker Biddle & Reath LLP
27
Mar
SEC Proposes to Amend Rule 15b9-1 Katten Muchin Rosenman LLP
27
Mar
SEC Requires FINRA Registration for High Frequency Traders Sheppard, Mullin, Richter & Hampton LLP
27
Mar
Fourth Circuit Sustains Securities Fraud Claim Against Drug Manufacturer Katten Muchin Rosenman LLP
27
Mar
European Securities and Markets Authority (ESMA) Updates Q&A on the AIFMD Katten Muchin Rosenman LLP
27
Mar
SEC Rule Change Would Require High-Frequency Traders to Register with FINRA Proskauer Rose LLP

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