| Oct 10 2013 |
Securities and Exchange Commission (SEC) Finally Proposes Pay Ratio Disclosure Rule |
Faegre Drinker |
| Aug 1 2013 |
Securities and Exchange Commission (SEC) Fraud Charges Against School District Demonstrate Increased Focus on Disclosure Compliance by Municipal Issuers |
Bracewell LLP |
| Feb 13 2013 |
Securities and Exchange Commission (SEC) Freezes Assets and Brings Civil Charges against EB-5 Investor Visa Project |
Sheppard, Mullin, Richter & Hampton LLP |
| Jan 20 2014 |
Securities and Exchange Commission (SEC) Highlights 2013 Accomplishments and Outlines 2014 Enforcement Priorities |
Barnes & Thornburg LLP |
| Feb 27 2013 |
Securities and Exchange Commission (SEC) Identifies Investment Adviser, Investment Company Examination Priorities for 2013 |
Neal, Gerber & Eisenberg LLP |
| Feb 11 2014 |
Securities and Exchange Commission (SEC) Increases Focus on Cyber Security |
Vedder Price |
| Oct 9 2013 |
Securities and Exchange Commission (SEC) Issues Frequently Asked Questions on Supervisory Liability of Broker-Dealer Compliance and Legal Personnel Under Section 15(b)(4) and 15(b)(6) of the Exchange Act |
Katten |
| Feb 21 2013 |
Securities and Exchange Commission (SEC) Issues Guidance on Broker-Dealer Registration Exemption in Title II of the JOBS Act |
Hunton Andrews Kurth |
| Jun 4 2013 |
Securities and Exchange Commission (SEC) Issues Guidance on Conflict Minerals and Resource Extraction Rules |
ArentFox Schiff LLP |
| Dec 20 2013 |
Securities and Exchange Commission (SEC) Issues Guidance on General Solicitation and Rule 506 Bad Actor Rules |
Hunton Andrews Kurth |
| Jun 10 2013 |
Securities and Exchange Commission (SEC) Issues Guidance on Resource Extraction Issuer Rules |
Morgan, Lewis & Bockius LLP |
| Apr 28 2014 |
Securities and Exchange Commission (SEC) Issues Guidance on Use of Social Media |
Morgan, Lewis & Bockius LLP |
| Dec 13 2013 |
Securities and Exchange Commission (SEC) Issues Guidance on “Bad Actor” Rules |
Faegre Drinker |
| Jun 15 2013 |
Securities and Exchange Commission (SEC) Issues New FAQs on Conflict Minerals Rules |
McDermott Will & Emery |
| Jul 17 2013 |
Securities and Exchange Commission (SEC) Issues New Relief for Self-Indexing Exchange Traded Funds (ETFs) |
Morgan, Lewis & Bockius LLP |
| Feb 8 2014 |
Securities and Exchange Commission (SEC) Issues No-action Relief Regarding Registration of Mergers and Acquisitions (M&A) Brokers |
Katten |
| May 5 2013 |
Securities and Exchange Commission (SEC) Issues Proposal Regarding Cross-Border Security-Based Swap Activities |
Katten |
| Feb 9 2014 |
Securities and Exchange Commission (SEC) Issues Risk Alert on Investment Advisers’ Due Diligence Processes for Selecting Alternative Investments |
Katten |
| Sep 23 2013 |
Securities and Exchange Commission (SEC) Issues Risk Alert on Short Selling in Connection with a Public Offering |
Katten |
| Apr 30 2014 |
Securities and Exchange Commission (SEC) Issues Statement on Conflict Minerals Rule |
McDermott Will & Emery |
| May 2 2014 |
Securities and Exchange Commission (SEC) Issues Statement on the Effect of the Recent US Court of Appeals Decision on the Conflict Minerals Rule |
Katten |
| Jul 12 2013 |
Securities and Exchange Commission (SEC) Liberalizes Restrictions on Advertisements of Most EB-5 Projects |
Greenberg Traurig, LLP |
| Jul 12 2013 |
Securities and Exchange Commission (SEC) Lifts Advertising Ban on Private Offerings: What It Means for Private Equity, Hedge and Venture Capital Funds |
Mintz |
| Jul 17 2013 |
Securities and Exchange Commission (SEC) Lifts Ban on Advertising for Private Investment Funds |
Vedder Price |
| Jul 11 2013 |
Securities and Exchange Commission (SEC) Lifts Ban on General Solicitation in Certain Private Securities Transactions; Disqualifies 'Bad Actors' from Rule 506 Offerings |
Greenberg Traurig, LLP |
| Jul 30 2013 |
Securities and Exchange Commission (SEC) Lifts Ban on General Solicitations for Certain Private Placements |
Lowndes, Drosdick, Doster, Kantor & Reed, P.A. |
| Apr 25 2014 |
Securities and Exchange Commission (SEC) Municipalities Continuing Disclosure Cooperation Initiative Targets Issuers and Underwriters with a “Prisoner’s Dilemma” |
Bracewell LLP |
| Jun 19 2014 |
Securities and Exchange Commission (SEC) Municipalities Continuing Disclosure Cooperation Initiative Update |
Dickinson Wright PLLC |
| Feb 6 2014 |
Securities and Exchange Commission (SEC) No-Action Letter Addresses “M&A Brokers” |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Mar 17 2014 |
Securities and Exchange Commission (SEC) No-Action Letter Provides Relief for Mergers and Acquisitions (M&A) Brokers |
Armstrong Teasdale |
| Jan 24 2014 |
Securities and Exchange Commission (SEC) Obtains $5.6 Million Judgment Against Stockbroker for Insider Trading of Burger King Stock |
Katten |
| Jun 20 2014 |
Securities and Exchange Commission (SEC) Obtains Settlement for Investment Adviser’s Real Estate Investment Fraud |
Katten |
| Apr 10 2014 |
Securities and Exchange Commission (SEC) Offers Guidance On Use of Social Media Commentary by Investment Advisers |
Faegre Drinker |
| Jul 10 2013 |
Securities and Exchange Commission (SEC) Proposed Money Market Reform: An Analysis of Fund Director Responsibilities |
Faegre Drinker |
| Oct 10 2013 |
Securities and Exchange Commission (SEC) Proposes Additional Amendments to Form D, Regulation D and Rule 156 Under the Securities Act |
Vedder Price |
| Sep 22 2013 |
Securities and Exchange Commission (SEC) Proposes Disclosure of Difference Between CEO and Worker Pay |
Barnes & Thornburg LLP |
| Oct 11 2013 |
Securities and Exchange Commission (SEC) Proposes Pay Ratio Disclosure Rule |
Hunton Andrews Kurth |
| Oct 2 2013 |
Securities and Exchange Commission (SEC) Proposes Pay Ratio Disclosure Rules |
Michael Best & Friedrich LLP |
| Oct 4 2013 |
Securities and Exchange Commission (SEC) Proposes Pay Ratio Rule |
Womble Bond Dickinson (US) LLP |
| Sep 25 2013 |
Securities and Exchange Commission (SEC) Proposes Rule on Required CEO Pay Ratio Disclosure |
Morgan, Lewis & Bockius LLP |
| Sep 20 2013 |
Securities and Exchange Commission (SEC) Proposes Rule Regarding Disclosure of CEO-to-Worker Pay Ratio |
Katten |
| Dec 22 2013 |
Securities and Exchange Commission (SEC) Proposes Rules for “Regulation A+” Offerings |
Katten |
| Jun 20 2013 |
Securities and Exchange Commission (SEC) Provides Guidance on Dodd-Frank Conflict Minerals Rule |
Hunton Andrews Kurth |
| Mar 11 2014 |
Securities and Exchange Commission (SEC) Provides Limited Business Broker Registration Relief for Private Company Mergers and Acquisitions (M&A) Transactions |
Hunton Andrews Kurth |
| Feb 5 2014 |
Securities and Exchange Commission (SEC) Provides No-Action Relief for M&A (Mergers and Acquisition) Brokers |
Morgan, Lewis & Bockius LLP |
| Jun 21 2014 |
Securities and Exchange Commission (SEC) Releases Guidance on Affiliated Transactions of Series Investment Companies |
Katten |
| Jul 16 2013 |
Securities and Exchange Commission (SEC) Releases Money Market Fund Reform Proposals |
Godfrey & Kahn S.C. |
| Jul 16 2013 |
Securities and Exchange Commission (SEC) Removes Prohibition on General Solicitation for Certain Private Offerings to Accredited Investors |
Godfrey & Kahn S.C. |
| May 12 2013 |
Securities and Exchange Commission (SEC) Reopening Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps |
Katten |
| May 10 2014 |
Securities and Exchange Commission (SEC) Reopens Comment Period on Proposed Target Date Retirement Fund Marketing Rules |
Vedder Price |
