Aug 19 2015 |
CFTC/SEC Jurisdictional Battle Heats Up Over Dividend Indices |
Morgan, Lewis & Bockius LLP |
Aug 19 2015 |
SEC’s Common Sense Approach to Private Placements and General Solicitation |
Mintz |
Aug 19 2015 |
California Reverts To Former Securities Anti-Fraud Statute |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Aug 18 2015 |
Seventh Circuit Issues Excessive Fee Decision In Harris Case |
Faegre Drinker |
Aug 18 2015 |
SEC Adopts Final Rules on CEO Pay Ratio Disclosure |
Foley & Lardner LLP |
Aug 18 2015 |
Section 10(b) of Securities Exchange Act Claim Receives a Do-Wacko-Do |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Aug 17 2015 |
Bridging the Week: August 10 – 14 and 17, 2015 (Hacking, Layering, Dark Pools; Manipulation, Position Limits and Fiduciary Duties) |
Katten |
Aug 17 2015 |
Conduct Unbecoming Of An Officer And An Employee? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Aug 14 2015 |
EU Securities Financing Transactions Regulation––Shining a Light on Shadow Banking |
Katten |
Aug 14 2015 |
Hong Kong Securities and Futures Commission (HKSFC) Issues Circular on Application Process for Exemptive Relief Under CFTC Regulation 30.10 |
Katten |
Aug 14 2015 |
SEC Division of Corporate Finance Issues New CD&Is Relating to General Solicitation and Regulation D |
Katten |
Aug 14 2015 |
Asset Protection Planning - Part 4 - Business Entities, Trusts and Case Studies [Audio Podcast] |
Odin, Feldman & Pittleman, P.C. |
Aug 13 2015 |
SEC Settles Charges Against Auditor, Fund Administrator and Trustee in Connection with Auditor-Trustee Relationship |
Vedder Price |
Aug 13 2015 |
FINRA Sanctions Wells Fargo, Raymond James and LPL Financial for Failing to Identify and Apply Mutual Fund Sales Charge Waivers Available for Certain Retirement Accounts and Charitable Organizations |
Vedder Price |
Aug 13 2015 |
U.S. District Court of Pennsylvania Denies Motion to Dismiss Excessive Fee Case Against SEI Investments |
Vedder Price |
Aug 13 2015 |
SEC Issues No-Action Letter Permitting a Fund-of-Funds to Invest in Assets that May Not Be Deemed Securities |
Vedder Price |
Aug 13 2015 |
SEC Sanctions Dark Pool Operator and Affiliated High Frequency Trader |
Proskauer Rose LLP |
Aug 13 2015 |
Don’t Be Caught Dead Handed: Avoiding Legal Challenges to Dead Hand Proxy Puts in Loan Agreements |
McDermott Will & Emery |
Aug 13 2015 |
New York District Court Preliminarily Enjoins SEC Administrative Proceeding |
Proskauer Rose LLP |
Aug 13 2015 |
SEC Staff Declares Performance History Is Not Factual |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Aug 12 2015 |
SEC Finds Metadata Contradicts CCO’s Statement In Examination |
Proskauer Rose LLP |
Aug 11 2015 |
Why Newman Might Not Be Headed to the Supreme Court |
Barnes & Thornburg LLP |
Aug 11 2015 |
SEC Enforcement Moves Toward Automatic Detection of Possible Accounting Fraud |
Vedder Price |
Aug 11 2015 |
SEC Administrative Proceedings Under Constitutional Scrutiny |
Vedder Price |
Aug 11 2015 |
SEC Continues to Pursue Clawbacks under Sarbanes-Oxley and Issues Proposed Dodd-Frank Clawback Rules |
Vedder Price |
Aug 11 2015 |
SEC Brings First Whistleblower Enforcement Action Involving Employee Confidentiality Agreements |
Vedder Price |
Aug 11 2015 |
Merlin Partners v. AutoInfo: Merger Price and Process Key in Determining Appraisal Value |
Vedder Price |
Aug 11 2015 |
U.S. Supreme Court's Long- Awaited Omnicare Decision |
Vedder Price |
Aug 11 2015 |
Why SEC’s Pre-Existing Relationship Test Is The Mirror Image of California’s |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Aug 10 2015 |
Dodd-Frank CEO Pay Ratio Disclosure Rules Approved |
Holland & Hart LLP |
Aug 10 2015 |
Dodd-Frank and Diversity - Inclusion Strategy within the Existing Law |
Morgan, Lewis & Bockius LLP |
Aug 10 2015 |
CitizenVC No Action Letter Gives Guidance for Online Private Placements |
Mintz |
Aug 10 2015 |
SEC’s New Pay Ratio Disclosure Rule Explained |
Covington & Burling LLP |
Aug 10 2015 |
Citizen.VC No Action Letter: Clarity and Guidance for Conducting a Private Placement Online |
Mintz |
Aug 10 2015 |
Does The Power To Choose Not Include The Power To Remove? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Aug 8 2015 |
SEC Adopts Registration Rules for Security-Based Swap Dealers and Major Security-Based Swap Participants |
Katten |
Aug 8 2015 |
Third Circuit Opinion Raises Uncertainty for the Ordinary Business Exclusion in Shareholder Proposals |
Proskauer Rose LLP |
Aug 7 2015 |
SEC Finalizes Rules Regarding Disclosure of CEO Pay Ratio—What They Require, What to Do and What’s Next |
McDermott Will & Emery |
Aug 7 2015 |
BATS Proposes Rule to Expedite Action Against Manipulative Behavior |
Katten |
Aug 7 2015 |
FINRA Proposes Rule Governing Personal Securities Transactions of Associated Persons |
Katten |
Aug 7 2015 |
SEC Finalizes Rule on Pay Ratio Disclosure |
Katten |
Aug 7 2015 |
National Futures Association Grants Form PR Reporting Relief to Certain CTAs |
Katten |
Aug 7 2015 |
SEC Finalizes the CEO Pay Ratio Rule – Additional Executive Compensation Disclosure for Public Companies Beginning in 2017 |
Mintz |
Aug 7 2015 |
Changes to Michigan Nonprofit Corporation Act Expand Liability Protection, Authorize New Election Procedures, Ease Voting Thresholds |
Varnum LLP |
Aug 7 2015 |
U.S. SEC Adopts Rules Mandating Disclosure of CEO-Worker Pay Ratios |
Squire Patton Boggs (US) LLP |
Aug 7 2015 |
Did You Ever Wonder What You Might Do In California But Not Delaware? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Aug 6 2015 |
SEC Issues Interpretive Rule Regarding Definition of Dodd-Frank “Whistleblower” |
Proskauer Rose LLP |
Aug 6 2015 |
SEC Issues Interpretation of its Regulations on Definition of Dodd-Frank Whistleblower |
Epstein Becker & Green, P.C. |
Aug 5 2015 |
Department of Justice Quietly Revises Foreign Corrupt Practices Act Resource Guide |
Morgan, Lewis & Bockius LLP |
Aug 5 2015 |
SEC Guidance on Dodd-Frank Whistleblower Protection is a Win for Whistleblowers |
Zuckerman Law |