| Aug 5 2015 |
Do De Facto Officers Owe Fiduciary Duties? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Aug 5 2015 |
Nigeria (Again) Contemplates Mandatory Stock Exchange Listing Legislation |
Covington & Burling LLP |
| Aug 5 2015 |
SEC Flexes Its Enforcement Muscle For Securities-Based Swaps |
Proskauer Rose LLP |
| Aug 5 2015 |
Who Can Source Investors For EB-5 Projects: The World of Finders, Consultants, Attorneys, and Broker Dealers |
Greenberg Traurig, LLP |
| Aug 4 2015 |
D.C. Circuit Holds “Boilerplate” Forward-Looking Statements Are Not Entitled to PSLRA’s “Safe Harbor” |
Mintz |
| Aug 4 2015 |
New York District Court Appears to Sustain Attack on SEC Administrative Proceedings |
Proskauer Rose LLP |
| Aug 4 2015 |
Petrobras Shareholders’ Brazilian-Law Claims Are Subject to Mandatory Arbitration Provision |
Proskauer Rose LLP |
| Aug 4 2015 |
ISDA Briefing Note on Derivatives Market Reforms Five Years After Dodd-Frank Act: International Swaps and Derivatives Association |
Squire Patton Boggs (US) LLP |
| Aug 4 2015 |
Will You Be Gulled By This Notice? re: Nevada Shareholder Information |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Aug 3 2015 |
Third Circuit Finds Insured v. Insured Exclusion Precludes Recovery of Defense Costs |
Proskauer Rose LLP |
| Aug 3 2015 |
Bridging the Week: July 27 - 31 and August 3, 2015 (No Passport; Spoofing; Wash Trades; Position Limits, Bitcoin; Rogue Trading) |
Katten |
| Aug 3 2015 |
Fiduciary Bonds – Who Needs Them? |
Holland & Hart LLP |
| Jul 31 2015 |
Eleventh Circuit Again Affirms Dismissal of Stock Drop Claim Against Delta Air Lines |
Proskauer Rose LLP |
| Jul 31 2015 |
ESMA Consultation on New Remuneration Rules for EU UCITS Managers and EU AIFMs |
Katten |
| Jul 31 2015 |
July 2015 Compilation of Enforcement and Non-Enforcement Actions |
Foley & Lardner LLP |
| Jul 31 2015 |
AIFMD Marketing Passport: ESMA Provides European Commission With Advice on Its Possible Extension to Non-EU Jurisdictions |
Katten |
| Jul 31 2015 |
SEC to Consider Adoption of Pay Ratio Disclosure Rules at August 5 Opening Meeting |
Katten |
| Jul 31 2015 |
CalPERS And Pay Equity |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jul 30 2015 |
New SEC and PCAOB Proposals Related to Audit Committee Disclosure and Audit Quality |
Morgan, Lewis & Bockius LLP |
| Jul 30 2015 |
New Executive Compensation Clawback Rules Proposed by SEC; Update on Pay Ratio Disclosure and Pay vs. Performance Rules |
Barnes & Thornburg LLP |
| Jul 28 2015 |
“Pay to Play” Developments - Updates from the SEC |
Morgan, Lewis & Bockius LLP |
| Jul 28 2015 |
CalPERS Claims Success; Proxy Monitor Says CalPERS Success Leads To Lower Stock Prices |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jul 27 2015 |
CFTC Staff Exempts Certain Commodity Trading Advisors from Form CTA-PR Reporting |
Morgan, Lewis & Bockius LLP |
| Jul 27 2015 |
SEC Considering Possible Revisions to Audit Committee Disclosure Requirements |
Hunton Andrews Kurth |
| Jul 27 2015 |
Court Declines To Declare “S” Corporation Shareholders’ Agreement Unenforceable |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jul 25 2015 |
CFTC Extends Designation of DTCC-SWIFT as Provider of Legal Entity Identifiers |
Katten |
| Jul 25 2015 |
The SEC's Investment Management Division Has Some Things to Tell You about Cybersecurity |
Brooks, Pierce, McLendon, Humphrey & Leonard, LLP |
| Jul 24 2015 |
Federal Reserve Issues Final Rule Requiring GSIBs to Bolster Capital |
Katten |
| Jul 24 2015 |
CFTC Staff Exempts Certain CTAs From Filing Form CTA-PR |
Katten |
| Jul 24 2015 |
Claiming Tipper Received No Benefit, Defendant Invokes Newman in Seeking to Dismiss Insider Trading Allegations |
Katten |
| Jul 24 2015 |
SEC Chair Attempts to Reassure Compliance Officers That They Will Not Be Targeted |
Katten |
| Jul 24 2015 |
Regulators Issue Final Dodd-Frank Standards for Assessing Diversity Policies and Practices of Covered Entities in the Financial Services Industry |
Epstein Becker & Green, P.C. |
| Jul 23 2015 |
SEC’s Investment Management Division Has Some Things to Tell You about Cybersecurity |
Brooks, Pierce, McLendon, Humphrey & Leonard, LLP |
| Jul 23 2015 |
SEC Pays More Than $3 Million Whistleblower Award |
Proskauer Rose LLP |
| Jul 23 2015 |
Australia – A New Frontier for Plaintiffs? |
Mintz |
| Jul 23 2015 |
What Dodd-Frank Means for SEC Enforcement Issues [VIDEO] |
Foley & Lardner LLP |
| Jul 23 2015 |
You Can Settle Your Insider Trading Case with a Negligence-based Charge |
Brooks, Pierce, McLendon, Humphrey & Leonard, LLP |
| Jul 23 2015 |
Extra Time Granted to File UK Share Plan Returns |
Squire Patton Boggs (US) LLP |
| Jul 23 2015 |
Executive Compensation SEC Proposed Rules |
Giordano, Halleran & Ciesla, P.C. |
| Jul 22 2015 |
SEC Approves Long-Anticipated FINRA Research Rules |
Morgan, Lewis & Bockius LLP |
| Jul 22 2015 |
Delaware Supreme Court Reinforces Importance of Clear and Precise Bylaw Provisions and Specifically Drafted Notices of Annual Meetings |
Sheppard, Mullin, Richter & Hampton LLP |
| Jul 22 2015 |
Out-of-State M&A Lawyer Can Be Sued In California |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jul 21 2015 |
Potential FCPA Landmines Selling EB-5 deals Abroad through Intermediaries |
Mintz |
| Jul 21 2015 |
Does The SEC Know How To Assess Risks And Rewards? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jul 20 2015 |
Disruptive Trading Redux; Penalties; Treasury Flash Crash; CCOs - Bridging the Week: July 13-17 and 20, 2015 [VIDEO] |
Katten |
| Jul 20 2015 |
Implementation Issues Abound For The SEC’s Proposed Clawback Rules |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jul 19 2015 |
SEC Pays $3M Award to Whistleblower |
Zuckerman Law |
| Jul 17 2015 |
FINRA Updates Its Interpretation of the SEC’s Financial Responsibility Rules |
Katten |
| Jul 17 2015 |
SEC Settles With Stock Promoters in Medical Marijuana Stock Manipulation Scheme |
Katten |
| Jul 17 2015 |
Court of Appeals for Third Circuit Overturns District Court Ruling Regarding Exclusion of Shareholder Proposal From Proxy Statement |
Katten |
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