Securities & SEC

The National Law Review provides the latest free no-login legal news on transactions and other dealings with securities. Our coverage includes actions under the Securities Exchange Act of 1934 and by the Securities and Exchange Commission ("SEC"), and the Commodity Futures Trading Commission ("CFTC"). Topics examined include cybersecurity requirements for investment advisers and financial institutions, insider trading, conflict minerals, securities fraud, commodities regulation, the SEC pay-to-play rule, the EB-5 Immigrant Investor Program, as well as securities litigation. Our coverage also includes information from around the globe including from the European Securities and Markets Authority ("ESMA") and Australian Securities and Investments Commission ("ASIC").

Date	Title	Organization
9 Mar	Delaware Court Enjoins Merger Vote Citing Conflicts of Interest of Financial Advisor	Sheppard, Mullin, Richter & Hampton LLP
23 Sep	FINRA Delays Rule 4210 Margining of Covered Agency Transactions to June 2018	Katten Muchin Rosenman LLP
22 Sep	Implementation of Pay Ratio Disclosure Requirement Not Expected to Be Delayed	Katten Muchin Rosenman LLP
22 Sep	The Top Three Political Law Risks for Hedge Funds, Private Equity Funds, and Investment Firms	Covington & Burling LLP
22 Sep	Did The SEC’s Pay Ratio Guidance Miss Conjunction Junction?	Allen Matkins Leck Gamble Mallory & Natsis LLP
21 Sep	Pay Ratio Compliance is Around the Corner; Is Your Company Ready?	Womble Carlyle Sandridge & Rice, PLLC
20 Sep	Ninth Circuit Affirms Dismissal of Breach of Contract and Fiduciary Duty Claims Against PIMCO but Rules Lower Court Should Have Dismissed Claims for Lack of Jurisdiction	Vedder Price
20 Sep	SEC Names Dalia Blass as Director of the Division of Investment Management	Vedder Price
20 Sep	Securities Industry Implements T+2 Settlement Cycle	Vedder Price
20 Sep	Report Improper Revenue Recognition and Qualify for an SEC Whistleblower Award	Zuckerman Law