Dec 15 2015 |
FAST Act Amends JOBS Act and Creates New Private Resale Exemption |
Hunton Andrews Kurth |
Dec 15 2015 |
Debate Intensifies on Best Strategy to Recover Foreign Securities Losses |
Mintz |
Dec 15 2015 |
SEC Charges Attorneys Across Country for Acting as Unlicensed Securities Brokers |
Greenberg Traurig, LLP |
Dec 15 2015 |
SEC Proposal Would Limit Investment In Derivatives By Investment Companies |
Proskauer Rose LLP |
Dec 14 2015 |
First Circuit Overturns SEC Ruling in Flannery v. SEC |
Morgan, Lewis & Bockius LLP |
Dec 14 2015 |
SEC Proposes Requirements for Funds’ Use of Derivatives and Other Financial Transactions |
Morgan, Lewis & Bockius LLP |
Dec 14 2015 |
Bridging the Week: December 7 - 11 and 14, 2015 (Investment Companies and Derivatives; Attempted Manipulation; HFTs; Conviction Overturned) |
Katten |
Dec 14 2015 |
Section 12(g)(1)(A) of JOBS Act – How SEC Is Putting Words In Congress’ Mouth |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Dec 14 2015 |
Securities Law Risk Mitigation in EB-5 Offerings |
Mintz |
Dec 11 2015 |
Here We Go Again — New Proposed Resource Extraction Payment Rules |
Squire Patton Boggs (US) LLP |
Dec 11 2015 |
FINRA Issues Notice on Member Website References and Hyperlinks to BrokerCheck |
Katten |
Dec 11 2015 |
FAST Act Legislation and Impact on Securities Law |
Katten |
Dec 11 2015 |
Federal Highway Bill Eliminates Annual Privacy Notice Requirement for Financial Institutions |
Katten |
Dec 11 2015 |
Sellers May Find FAST Act To Be Not So Fast |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Dec 10 2015 |
Helping Government Investigate Alleged “Fraud” Is Insufficient To Support Retaliation Claim |
McDermott Will & Emery |
Dec 10 2015 |
Highway Bill Includes Changes to Registration, Privacy and Other Securities Laws |
Faegre Drinker |
Dec 9 2015 |
SEC Steps Up Investigations of Political Intelligence Firms for Insider Trading |
Foley & Lardner LLP |
Dec 9 2015 |
FAST Act - Capital Markets Provisions |
Bracewell LLP |
Dec 9 2015 |
SEC Nabs Immigration Lawyers Acting as Unregistered Brokers, Orders Fines and Disgorgement |
Mintz |
Dec 9 2015 |
Congress’ Strange New Secondary Trading Exemption |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Dec 8 2015 |
Regulation Crowdfunding: Long Wait Is Over, But Is Equity Crowdfunding D.O.A.? |
Mintz |
Dec 8 2015 |
Questions and Answers Concerning Final Prudential Regulator Margin Rules for Non-Cleared Swaps |
Katten |
Dec 8 2015 |
Strawberries and Raspberries – Truly Strange Bedfellows re: Fixing America’s Surface Transportation Act |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Dec 7 2015 |
Insider Trading in Futures; Newer, Tougher AML Requirements; New CCO Obligations; Possible Bitcoin Fraud - Bridging the Weeks: November 23 – December 7, 2015 [VIDEO] |
Katten |
Dec 7 2015 |
FINRA Accelerates Public Reporting of Certain Disclosure Information |
Greenberg Traurig, LLP |
Dec 7 2015 |
Financial Stability Oversight Council, Fiduciary Rule in Focus for Financial Services Lawmakers; SEC to Hold Open Meeting |
Squire Patton Boggs (US) LLP |
Dec 4 2015 |
SEC Policy Change: Voluntary Disclosure Now Required for DPA/NPA Resolutions in FCPA Cases |
Morgan, Lewis & Bockius LLP |
Dec 4 2015 |
ISS Updates Proxy Voting Policies for 2016 Proxy Season |
Hunton Andrews Kurth |
Dec 4 2015 |
SEC Approves Changes To Reduce Waiting Period for Release of Information Reported on Form U5 Through BrokerCheck |
Katten |
Dec 2 2015 |
SEC Adopts Rules to Allow Crowdfunding Beginning May 16, 2016 |
Hunton Andrews Kurth |
Dec 2 2015 |
Australian Full Federal Court Recognises Market-Based Causation |
Squire Patton Boggs (US) LLP |
Dec 2 2015 |
NYSE Arca Proposes to Flag ETP Trades that Deviate Significantly from Prevailing Market Prices |
Morgan, Lewis & Bockius LLP |
Dec 2 2015 |
Misleading Case For Majority Vote Standard |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Dec 1 2015 |
Borrowers in EB-5 Deals Not Insulated from Securities Litigation by the SEC |
Mintz |
Dec 1 2015 |
SEC Staff Updates Proxy “Unbundling” Guidance for M&A Transactions |
Hunton Andrews Kurth |
Dec 1 2015 |
FINRA Examination Review Provides Guidance to Identify, Mitigate and Manage Compensation Conflicts |
Vedder Price |
Dec 1 2015 |
Delaware Supreme Court Clarifies When Friendship Could Compromise Director’s Independence |
Vedder Price |
Dec 1 2015 |
SEC Seeks to 'Modernize' Its Internal Courts through Proposed Rule Amendments |
Vedder Price |
Dec 1 2015 |
SEC Staff’s Position On Unbundling Gets Even More Weird |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Nov 30 2015 |
November 2015 Compilation of SEC Enforcement and Non-Enforcement Actions |
Foley & Lardner LLP |
Nov 30 2015 |
Limiting Securities Litigation Risks in EB-5 Offerings: What Regional Centers and Issuers Need to Know |
Mintz |
Nov 30 2015 |
D.C. Circuit Denies Petition for Rehearing Conflict Minerals Rule Case |
Hunton Andrews Kurth |
Nov 30 2015 |
Between Bridges: November 30, 2015 - CFTC’s Proposed New Algorithmic Trading Rules Augur Potential Increased Obligations and Costs, and a New Registration Requirement [VIDEO] |
Katten |
Nov 30 2015 |
SEC Fines Should Prompt Firms Engaged in Political Intelligence To Revisit Insider Trading Policies |
Covington & Burling LLP |
Nov 30 2015 |
New CFTC Proposed Rules on Algorithmic Trading |
Bracewell LLP |
Nov 30 2015 |
Maryland District Court Rejects Materiality Requirement for Sarbanes-Oxley Whistleblower Actions |
Zuckerman Law |
Nov 30 2015 |
Most Important Principles of Delaware Corporate Law Can’t Be Found In the DGCL |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Nov 24 2015 |
SEC Once Again Sanctions The CCO of An Investment Advisory Firm |
Proskauer Rose LLP |
Nov 24 2015 |
Corruption and the Closing Table: How Much Diligence is Due? |
Polsinelli PC |
Nov 24 2015 |
Amendments to German Voting Rights Notification Rules |
Morgan, Lewis & Bockius LLP |