Jan 8 2016 |
FINRA’s 2016 Examination Priorities Identifies New Initiatives on Market Integrity and Firm Culture and Further Concern on Supervision and Controls |
Proskauer Rose LLP |
Jan 8 2016 |
Research Note: Equity Market Volatility on August 24, 2015 |
Katten |
Jan 8 2016 |
SEC Division of Corporation Finance Issues Four Additional C&DIs on FAST Act |
Katten |
Jan 8 2016 |
Congress Provides Swap Clearing and Margin Exemption for Central Treasury Units |
Katten |
Jan 8 2016 |
CFTC Amends Recordkeeping Rules |
Katten |
Jan 8 2016 |
CFTC Provides Relief to SEFs From Audit Trail Requirements Related to Post-Trade Allocation Information |
Katten |
Jan 8 2016 |
NFA Revises SD and MSP 4s Review Process |
Katten |
Jan 8 2016 |
CFTC Adopts Margin Rules for Uncleared Swaps |
ArentFox Schiff LLP |
Jan 8 2016 |
Glass Lewis Opens Registration for Issuer Data Report Requests, Including Expanding Access to Certain Companies in Canada and Europe |
Cadwalader, Wickersham & Taft LLP |
Jan 8 2016 |
Court Holds Corporations Have No Constitutional Privacy Right, But . . . |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Jan 7 2016 |
January 2016 Review of Recent Whistleblower Developments |
Foley & Lardner LLP |
Jan 7 2016 |
When Voluntary Self-Disclosure Isn’t so Voluntary: SEC Says Self-Disclose or Forfeit Non-Prosecution and Deferred Prosecution |
Sheppard, Mullin, Richter & Hampton LLP |
Jan 7 2016 |
Resource Extraction Payments Disclosure: “I’ve Information Vegetable, Animal, and Mineral” |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Jan 7 2016 |
Potential Revisions to the Definition of “Accredited Investor” |
Sheppard, Mullin, Richter & Hampton LLP |
Jan 6 2016 |
“Not De Minimis” Is No Small Thing! |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Jan 5 2016 |
ISS Defines Acceptable Parameters for Proxy Access Provisions |
McDermott Will & Emery |
Jan 5 2016 |
Bridging the Week: December 21 – 31, 2015, and January 4, 2016 (MF Global; Blue Sheets; New Product Blues; Tag 50s; The Big Short) |
Katten |
Jan 5 2016 |
What SEC Doesn’t Understand About Blue Sky Laws |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Jan 4 2016 |
SEC Reproposes Rules for Resource Extraction Issuers |
Morgan, Lewis & Bockius LLP |
Jan 4 2016 |
Hong Kong Regulatory Bulletin - December 2015 |
Cadwalader, Wickersham & Taft LLP |
Jan 3 2016 |
Japan Trade Alert |
Cadwalader, Wickersham & Taft LLP |
Jan 3 2016 |
Delaware Supreme Court Upholds Rural Metro Decision, but Financial Advisors Can Breathe a Sigh of Relief |
Cadwalader, Wickersham & Taft LLP |
Jan 3 2016 |
Contractual Recognition of Bail-In – Are You Ready? - EU Bank Recovery and Resolution Directive |
Cadwalader, Wickersham & Taft LLP |
Jan 2 2016 |
2016 Proxy Season – Quick Reference Guide |
Cadwalader, Wickersham & Taft LLP |
Jan 2 2016 |
Update on the EU’s Proposed Regulation on Securitisation and its Potential Impact on US Market Participants |
Cadwalader, Wickersham & Taft LLP |
Dec 30 2015 |
Proxy Season Guide to 2016 re: Corporations and Securities |
Dinsmore & Shohl LLP |
Dec 29 2015 |
December 2015: A Compilation of Finance Enforcement and Non-Enforcement Actions |
Foley & Lardner LLP |
Dec 27 2015 |
U.S. Securities Laws Not Applicable to Certain Purchases of Petrobras Debt Securities |
Proskauer Rose LLP |
Dec 25 2015 |
FINRA and MSRB Propose New Pay-to-Play Restrictions on Broker-Dealer Solicitors and Municipal Advisors; Rules Will Trigger SEC Investment Advisor Third-Party Solicitation Ban |
Greenberg Traurig, LLP |
Dec 24 2015 |
First Circuit Offers Rebuke to SEC in Vacating Sanctions Order |
Greenberg Traurig, LLP |
Dec 23 2015 |
Potential Changes to Disclosure Requirements for Publicly Traded Companies |
Polsinelli PC |
Dec 23 2015 |
Federal Securities Law Implications of FAST Act |
Morgan, Lewis & Bockius LLP |
Dec 23 2015 |
Preemption Of Secondary Trading Is Fast Becoming More Obscure re: Securities |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Dec 22 2015 |
SEC Releases Crowdfunding Rules for Securities Offerings |
Dickinson Wright PLLC |
Dec 21 2015 |
FAST Act Speeds-Up Raising Capital |
Sheppard, Mullin, Richter & Hampton LLP |
Dec 21 2015 |
Bridging the Week: December 14 - 18 and 21, 2015 - EFRPs; Wash Sales; Manipulation; Margin; Conflicts of Interest; Fingerprinting; Audit Trail [VIDEO] |
Katten |
Dec 21 2015 |
SEC Staff Releases Report on Review of Definition of “Accredited Investor” |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Dec 18 2015 |
SEC Proposes New Rule Governing Funds’ Use of Derivatives |
Vedder Price |
Dec 18 2015 |
SEC Division of Corporation Finance Issues New CDIs on Fixing America’s Surface Transportation Act |
Katten |
Dec 18 2015 |
CFTC Adopts Final Margin Rules for Swap Dealers |
Katten |
Dec 18 2015 |
SEC Proposes Payment Disclosure Rules for Resource Extraction Issues |
Katten |
Dec 18 2015 |
Martin Shkreli Arrested for Alleged Securities Fraud Scheme |
Stark & Stark |
Dec 18 2015 |
Martin Shkreli, Criminal Forfeiture, and Wu-Tang Clan: Securities Fraud |
Brooks, Pierce, McLendon, Humphrey & Leonard, LLP |
Dec 18 2015 |
CFTC Proposes Cybersecurity Testing for DCOs, DCMs, SEFs and SDRs |
Katten |
Dec 17 2015 |
SEC Re-Proposes Disclosure Rules for Payments by Resource Extraction Issuers |
Mintz |
Dec 16 2015 |
OCIE Issues Risk Alert Regarding Advisers and Funds that Outsource Their CCOs |
Vedder Price |
Dec 16 2015 |
Congressional Spending Bill Shuts Down Key Goals of Campaign Finance Reform Community |
Covington & Burling LLP |
Dec 16 2015 |
EMIR Mandatory Clearing Will Start On 21 June 2016 |
Squire Patton Boggs (US) LLP |
Dec 15 2015 |
Need for Speed: FAST Act Impacts Securities Laws |
Faegre Drinker |
Dec 15 2015 |
First Circuit Overturns SEC Commissioners’ Sanctions Order |
Mintz |