Sep 8 2015 |
SEC Rejects Constitutional Challenge to Administrative Proceeding |
Proskauer Rose LLP |
Sep 8 2015 |
Executive Assistant Embezzles $1 Million from Hewlett Packard; as yet, SEC Doesn’t Care |
Brooks, Pierce, McLendon, Humphrey & Leonard, LLP |
Sep 6 2015 |
Third Circuit Finds that the FTC Has Authority to Sue Companies for Inadequate Cybersecurity Practices as an "Unfair" Practice |
Holland & Hart LLP |
Sep 4 2015 |
European Securities and Markets Authority (ESMA) Consults on Remaining MiFID II Draft ITS |
Katten |
Sep 3 2015 |
Resource Extraction Payment Rule — Not Everyone Wants To Let Sleeping Dogs Lie |
Squire Patton Boggs (US) LLP |
Sep 3 2015 |
Big Loss For Plaintiffs In High Frequency Trading Cases |
Proskauer Rose LLP |
Sep 3 2015 |
D.C. Circuit Court Rules That The SEC Unlawfully Withheld Action Mandated By Congress |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Sep 3 2015 |
ESMA Publishes Advice on Extending the Marketing Passport Beyond Europe |
Morgan, Lewis & Bockius LLP |
Sep 2 2015 |
Officers And The Internal Affairs Doctrine |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Sep 1 2015 |
Just How Scary is the SEC? “Fear” Not Sufficient Grounds to Duck Administrative Subpoena |
Mintz |
Sep 1 2015 |
SEC Steps Up Its Pursuit of Claims Involving the EB-5 Immigrant Investor Program |
Mintz |
Sep 1 2015 |
Expansion of Issuer Liability for Crowdfunding: What Might this Mean for the EB-5 Industry |
Mintz |
Sep 1 2015 |
California Securities Law: Overcoming A Securities Overissue |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Sep 1 2015 |
Pumping the Brakes on Shareholder Demands and Threats of Derivative Lawsuits against Your Company |
Horwood Marcus & Berk Chartered |
Aug 31 2015 |
Bridging the Week: August 24 - 28 and 31, 2015 (Net Capital, Flash Boys, Forum Choice, AML, Investment Advisers and Regulatory Equivalency) |
Katten |
Aug 31 2015 |
August 2015 Compilation of Enforcement and Non-Enforcement Actions |
Foley & Lardner LLP |
Aug 31 2015 |
FinCEN Proposes New Anti-Money Laundering Rules for Investment Advisers |
Katten |
Aug 31 2015 |
Failure to Investigate Could Mean “Game-Set-and-Match” for EB-5 Investors: SEC Case against Brother-in-Law of Tennis Star Andre Aggasi Shows Risk for Would-be Immigrant Investors |
Mintz |
Aug 31 2015 |
In California, A Snail Is Sometimes A Fish And A Goldfish Isn’t |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Aug 30 2015 |
Bridging the Week: August 17 - 21 and 24, 2015 - Block Trades, Front Running, Failure to Supervise, Conflicted Audit, Exempt Clearinghouse |
Katten |
Aug 28 2015 |
The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt a Kill Switch for NOM |
Katten |
Aug 28 2015 |
What Happened to Edward Jones and Does it Impact Issue Price? |
Squire Patton Boggs (US) LLP |
Aug 28 2015 |
Cautionary Tale for EB-5 Investors |
Jackson Lewis P.C. |
Aug 28 2015 |
CPMI and IOSCO Publish Joint Consultative Report on the Global Harmonization of OTC UTI |
Katten |
Aug 28 2015 |
SEC Issues Risk Alert on Broker-Dealer Controls Regarding Retail Sales of Structured Securities Products |
Katten |
Aug 28 2015 |
Original Judgment in Conflict Minerals Case Reaffirmed |
Hunton Andrews Kurth |
Aug 28 2015 |
SEC Decreases Registration Statement Filing Fees for Fiscal Year 2016 |
Katten |
Aug 27 2015 |
New Missouri Law Gives Securities Brokers Immunity for Protecting Seniors |
Armstrong Teasdale |
Aug 27 2015 |
What’s Next for the SEC Pay-to-Play Rule Challenge? |
Covington & Burling LLP |
Aug 27 2015 |
Stock Options: Did You Ever Wonder Whether “Within” Might Be A Superfluous Pleonasm? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Aug 26 2015 |
DC Circuit Court Rejects Challenge to SEC Pay-to-Play Rule |
Womble Bond Dickinson (US) LLP |
Aug 26 2015 |
Seventh Circuit Rejects Court Challenge to Pending SEC Administrative Enforcement Proceeding |
Proskauer Rose LLP |
Aug 25 2015 |
U.S. Securities and Exchange Commission Investigates Washington-based Regional Center |
Greenberg Traurig, LLP |
Aug 25 2015 |
SEC Brings First Major Cyber Insider Trading Case Against International Hacking Ring |
Proskauer Rose LLP |
Aug 25 2015 |
Nevada Enacts Provisions Permitting Ratification Of Corporate Acts |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Aug 24 2015 |
SEC Clarifies Effect of Whistleblower Definitions as New Bill Pushes Extension of Time to Enforce Securities Law Violations |
Giordano, Halleran & Ciesla, P.C. |
Aug 24 2015 |
When A Million Dollar Stockbroker Goes Bad |
Mahany Law |
Aug 24 2015 |
SEC Comments on Whistleblower Anti-Retaliation Provisions/Internal Reporting |
Brooks, Pierce, McLendon, Humphrey & Leonard, LLP |
Aug 24 2015 |
California Amends Code To Authorize Worker Cooperatives |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Aug 21 2015 |
DC Circuit Court Reaffirms Earlier Decision Partially Invalidating Conflict Minerals Rule on First Amendment Grounds |
Mintz |
Aug 21 2015 |
CFTC Proposes Cleared Swap Reporting Amendments |
Katten |
Aug 21 2015 |
European Securities and Markets Authority (ESMA) Recommends Changes to EMIR |
Katten |
Aug 21 2015 |
Delaware Court Poised To Decide Whether Directors Are Agents |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Aug 20 2015 |
Securities Exchange Comission Adopts Pay Ratio Disclosure Rule |
Hunton Andrews Kurth |
Aug 20 2015 |
Unlucky 13: FTC Settles Charges under International Safe Harbor Framework |
Keller and Heckman LLP |
Aug 20 2015 |
North Carolina Business Court Awards Rule 11 Sanctions For Baseless Fiduciary Duty Claim |
Brooks, Pierce, McLendon, Humphrey & Leonard, LLP |
Aug 20 2015 |
Probably Don’t Do What Red Cross CEO Just Did re: Government Investigations |
Brooks, Pierce, McLendon, Humphrey & Leonard, LLP |
Aug 20 2015 |
California, Nevada and 38 Other States Have These, But Delaware Doesn’t - Intermediate Courts of Appeal |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Aug 19 2015 |
SEC’s Disclosure Requirement on Conflict Minerals Again Ruled Unconstitutional — What Now? |
Foley & Lardner LLP |
Aug 19 2015 |
SEC Staff Issues New CDIs on General Solicitation Prohibition under Regulation D |
Michael Best & Friedrich LLP |