| Jan 14 2016 |
SEC Requests Public Comment on Transfer Agent Regulation Proposal and Concept Release |
Morgan, Lewis & Bockius LLP |
| Aug 31 2018 |
SEC Requires Addition of Two New Events to Continuing Disclosure Undertakings Beginning February 27, 2019 |
Ballard Spahr LLP |
| Mar 27 2015 |
SEC Requires FINRA Registration for High Frequency Traders |
Sheppard, Mullin, Richter & Hampton LLP |
| May 13 2023 |
SEC Requires New Disclosures in Periodic Reports on Share Repurchases |
McDermott Will & Emery |
| Mar 29 2017 |
SEC Requires Public Companies to Hyperlink Exhibits Beginning September 1, 2017 |
Mintz |
| Jul 11 2014 |
SEC Resolves First Case Under New Municipalities Continuing Disclosure Cooperation Initiative |
Faegre Drinker |
| Nov 26 2020 |
SEC Responds to Wyoming’s Opinion on Custody of Digital Assets and Qualified Custodian Status |
Proskauer Rose LLP |
| Feb 23 2017 |
SEC Retirement-Targeted Examinations: Interesting Angles on the DOL’s Fiduciary Rule #37 |
Faegre Drinker |
| Dec 14 2021 |
SEC Returns to Individual Written Response Policy for Proxy Requests |
Cadwalader, Wickersham & Taft LLP |
| Apr 5 2023 |
SEC Revisits Regulation S-P After Twenty Years of Innovation to Information Technology |
Proskauer Rose LLP |
| May 5 2022 |
SEC Risk Alert Highlights Renewed Focus on Insider Trading and MNPI Policies and Procedures for Fund Managers |
Proskauer Rose LLP |
| Apr 18 2024 |
SEC Risk Alert Offers Initial Observations on Compliance |
K&L Gates |
| Sep 13 2023 |
SEC Risk Alert to Investment Advisers: Assessing Risks, Scoping Examinations, and Requesting Documents |
Greenberg Traurig, LLP |
| May 10 2013 |
SEC Roundtable Discusses Current Securities Law Topics at 33rd Annual Ray Garrett Jr. Corporate and Securities Law Institute |
Katten |
| Nov 9 2020 |
SEC Roundtable on Reg BI and Form CRS |
Faegre Drinker |
| Oct 18 2021 |
SEC Rule 10b5-1 Trading Plans — Update on Potential Reforms |
Vedder Price |
| Jul 20 2021 |
SEC Rule 10b5-1: Trading Plans, Recent Lessons and Likely Reforms to Come |
Vedder Price |
| Nov 23 2021 |
SEC Rule Change to Clear Path for Investors on Corporate Boards |
Mintz |
| Mar 27 2015 |
SEC Rule Change Would Require High-Frequency Traders to Register with FINRA |
Proskauer Rose LLP |
| Dec 17 2021 |
SEC Runs Away From Its Staff's Response To Congress |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Nov 7 2014 |
SEC Sanctions 10 Companies for Disclosure Failures Surrounding Financing Deals and Stock Dilution |
Katten |
| Oct 25 2014 |
SEC Sanctions Athena in First High-Frequency Trading Manipulation Case |
Katten |
| Oct 1 2019 |
SEC Sanctions Broker-Dealer and Its CEO for Failing to Supervise an Employee Who Committed Securities Fraud |
Epstein Becker & Green, P.C. |
| May 25 2018 |
SEC Sanctions Broker-Dealer, Clearing Firm and Chief Compliance Officer for AML Violations |
Ballard Spahr LLP |
| Aug 13 2015 |
SEC Sanctions Dark Pool Operator and Affiliated High Frequency Trader |
Proskauer Rose LLP |
| Jul 6 2015 |
SEC Sanctions Hedge Fund Advisory Firm For Improper Valuations of Illiquid Securities |
Proskauer Rose LLP |
| Jun 21 2015 |
SEC Sanctions Independent Trustees for Approving Mutual Fund Advisory Contract without Sufficient Information |
Proskauer Rose LLP |
| Dec 13 2014 |
SEC Sanctions Operator of Unregistered Virtual Currency Exchanges |
Katten |
| Aug 31 2021 |
SEC Sanctions Public Company for Misleading Disclosures About Data Breach |
Hunton Andrews Kurth |
| Sep 20 2015 |
SEC Sanctions Senior Executives Of Failed Clearing Broker |
Proskauer Rose LLP |
| Jan 13 2015 |
SEC Sanctions Two Exchanges for Failing to Accurately Describe Order Types and Making Preferential Disclosure to High Frequency Traders |
Proskauer Rose LLP |
| Jun 18 2018 |
SEC says Bitcoin and Ether are not Securities |
Faegre Drinker |
| Apr 3 2015 |
SEC Says Employee Confidentiality Agreement Violates Dodd-Frank Whistleblower Provisions |
ArentFox Schiff LLP |
| Sep 23 2015 |
SEC Says No More Mr. Nice Guy on Investment Adviser Cybersecurity |
Brooks, Pierce, McLendon, Humphrey & Leonard, LLP |
| Apr 24 2019 |
SEC Says No to Shareholder Proposal, But Climate Disclosure Disputes Are Here to Stay |
ArentFox Schiff LLP |
| Feb 7 2022 |
SEC Says Remedy Stops Penalty: HeadSpin Avoids Fine in SEC Fraud Action |
Proskauer Rose LLP |
| Feb 29 2024 |
SEC Schedules Vote on Proposed Climate Disclosures |
Mintz |
| Oct 19 2013 |
SEC Scores in Accounting Fraud Suit Against BankAtlantic Corp. and Former CEO |
Katten |
| Aug 25 2016 |
SEC Scrutinizes Severance Agreements for Compliance With Dodd-Frank |
Greenberg Traurig, LLP |
| Apr 13 2017 |
SEC Scrutinizes “Fake News” Stock Promotion Schemes |
Zuckerman Law |
| Nov 9 2017 |
SEC Scrutiny Brings Sanity to Hot ICO Market |
Barnes & Thornburg LLP |
| Mar 18 2022 |
SEC Scrutiny of Climate Change Disclosures on the Rise |
Robinson & Cole LLP |
| Nov 11 2014 |
SEC Scrutiny of Crowdinvesting Sites Not Registered as Broker-Dealers |
Mintz |
| Mar 22 2013 |
SEC Secures Largest-Ever Settlement for Insider Trading Case |
Barnes & Thornburg LLP |
| Apr 7 2016 |
SEC Seeks Additional Resources for Examination and Enforcement in FY 2017 Budget Request |
Greenberg Traurig, LLP |
| Jul 11 2015 |
SEC Seeks Comment on Possible Enhancement of Audit Committee Disclosures |
Katten |
| Mar 11 2013 |
SEC Seeks Information to Assess Standards of Conduct and Other Obligations of Broker-Dealers and Investment Advisers |
Katten |
| Apr 29 2016 |
SEC Seeks Public Comment on Consolidated Audit Trail Proposal |
Katten |
| Aug 26 2016 |
SEC Seeks Public Comment on Disclosure Requirements of Subpart 400 of Regulation S-K |
Katten |
| Jul 2 2015 |
SEC Seeks Public Input on Exchange-Traded Product Trading Issues |
Morgan, Lewis & Bockius LLP |
