| Apr 21 2015 |
How Many Board Members Are Required To Take Action? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Apr 21 2015 |
Two Regulatory Crises: Cybersecurity Issues |
Brooks, Pierce, McLendon, Humphrey & Leonard, LLP |
| Apr 20 2015 |
The SEC Is Targeting Companies That Use Confidentiality Agreements That Silence Whistleblowers in Violation of the Securities Exchange Act |
Epstein Becker & Green, P.C. |
| Apr 20 2015 |
Crowdfunding Gets Local: What Entrepreneurs and Start-Ups Need to Know to Capitalize on Exemptions for Intrastate Crowdfunding in Arizona and Colorado |
Ryley Carlock & Applewhite, A Professional Corporation |
| Apr 20 2015 |
SEC Pursues Another Fractional Interest Company |
Faegre Drinker |
| Apr 20 2015 |
Proposed Amendments to SEC Rule 15b9-1 Would Require Most Proprietary Trading Broker-Dealers to Become FINRA Members |
Katten |
| Apr 20 2015 |
SDNY Judge Deals Rejects Constitutional Challenge to SEC’s Use of Administrative Proceedings |
Faegre Drinker |
| Apr 20 2015 |
Senate Banking Committee Schedules Markup; Department Of Labor Releases Fiduciary Rule |
Squire Patton Boggs (US) LLP |
| Apr 20 2015 |
SEC Takes Aggressive Approach to Fortify Dodd-Frank’s Whistleblower Rules |
Sheppard, Mullin, Richter & Hampton LLP |
| Apr 20 2015 |
A Non-Insider Trading Case in the District of Massachusetts |
Brooks, Pierce, McLendon, Humphrey & Leonard, LLP |
| Apr 20 2015 |
Will California Require Notice Filings For Regulation A Offerings? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Apr 18 2015 |
SEC Announces First Whistleblower Action Regarding Confidentiality Agreement Restrictions |
Womble Bond Dickinson (US) LLP |
| Apr 17 2015 |
SDNY Denies Motion to Dismiss SEC Insider Trading Complaint Despite Newman Holding |
Katten |
| Apr 17 2015 |
US Sentencing Commission Revises Sentencing Guidelines for Fraud |
Katten |
| Apr 17 2015 |
SEC Joins NLRB in Attacking Employee Confidentiality Agreements |
Barnes & Thornburg LLP |
| Apr 17 2015 |
CFTC and Australian Regulator Sign Memorandum of Understanding Regarding Cross-Border SDs and MSPs |
Katten |
| Apr 17 2015 |
Proposed Amendments to DGCL (Delaware General Corporation Law), Including Ban on Fee-Shifting and Permitting Exclusive Forum Provisions |
Katten |
| Apr 17 2015 |
European Parliament Committee Votes for a Mandatory System for Conflict Minerals Importers |
Squire Patton Boggs (US) LLP |
| Apr 17 2015 |
Part 2 - Recent Enforcement Trends In Commodity Markets |
Barnes & Thornburg LLP |
| Apr 16 2015 |
Study Concludes That California’s Lending Laws Are Number One |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Apr 14 2015 |
SEC Targets Confidentiality Agreements that Could Deter Whistleblowers |
Michael Best & Friedrich LLP |
| Apr 14 2015 |
Do Your Bylaws Make Obtaining Waivers Of Notice More Onerous? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Apr 13 2015 |
SEC Blows the Whistle on Confidentiality Agreements |
Foley & Lardner LLP |
| Apr 13 2015 |
Why Your Shareholder Meeting Waivers Of Notice May Not Be Up To Snuff |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Apr 13 2015 |
Recent Enforcement Trends in the Commodity Markets (Part 1) |
Barnes & Thornburg LLP |
| Apr 10 2015 |
Three Thoughts about the SEC’s First “Pretaliation” Case |
Brooks, Pierce, McLendon, Humphrey & Leonard, LLP |
| Apr 10 2015 |
Equity Firm Agrees to Pay $3 Million to NM State Investment Counsel for Moneys Tied to Pay For Play Scheme |
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| Apr 10 2015 |
Constitutional Challenges to SEC Administrative Proceedings |
Proskauer Rose LLP |
| Apr 10 2015 |
Uniform Fiduciary Standards on the Horizon for Brokers and RIAs |
Barnes & Thornburg LLP |
| Apr 10 2015 |
OCIE Releases 2015 Examination Priorities |
Vedder Price |
| Apr 10 2015 |
U.S. Court of Appeals Reinstates Shareholder Class Action against Schwab Alleging Various Claims Relating to Violation of Fundamental Investment Policies |
Vedder Price |
| Apr 10 2015 |
Second Circuit Refuses to Rehear Groundbreaking Insider Trading Case |
Katten |
| Apr 10 2015 |
SEC Asset Management Unit Co-Chief Discusses Enforcement Priorities |
Vedder Price |
| Apr 10 2015 |
SEC Secures Victory on Fraud Allegations Against Technology Executive |
Katten |
| Apr 10 2015 |
DBO Establishes Protocol To Block Unlicensed Payday Lenders’ Ads |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Apr 9 2015 |
Could The SEC Ask Airlines To Produce Data On Delayed And Canceled Flights? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Apr 9 2015 |
A New Concern about Confidentiality Agreements: Whistleblower Protection and Anti-Retaliation Emphasized and Enforced by the SEC |
Stark & Stark |
| Apr 9 2015 |
SEC and State OIG Allege that Contractors’ Policies, Procedures, and Agreements Suppress Whistleblowing |
Covington & Burling LLP |
| Apr 8 2015 |
Judge Rakoff: Newman No Obstacle for SEC’s Civil Enforcement Action of “Tippees” |
Faegre Drinker |
| Apr 8 2015 |
Preserving Net Operating Losses (NOL) Carryforward: What Are You Doing to Protect Your Company’s Valuable Tax Assets? |
Mintz |
| Apr 8 2015 |
Times May Change But Politicians Don’t |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Apr 7 2015 |
The STOCK Act in the “Post-Newman” Era - Stop Trading on Congressional Knowledge Act |
Foley & Lardner LLP |
| Apr 7 2015 |
Second Circuit Court Upholds SEC’s Insider-Trading Complaint and Questions Second Circuit’s Newman Decision |
Proskauer Rose LLP |
| Apr 7 2015 |
Are The SEC’s Canons Of Ethics Written In The Wind And Waves? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Apr 7 2015 |
U.S. Securities Regulators Take Notice of EB-5 |
Greenberg Traurig, LLP |
| Apr 6 2015 |
Manipulation and Manipulative Device; Sue and Be Sued; Alleged Pastor Fraud; Transfer Trades - Bridging the Week: March 30 to April 3 and 6, 2015 |
Katten |
| Apr 6 2015 |
Second Circuit Rebuffs DOJ and SEC in Denying Rehearing in Newman Insider Trading Case |
ArentFox Schiff LLP |
| Apr 6 2015 |
SEC Announces Enforcement Action Regarding Employee Confidentiality Agreement |
Proskauer Rose LLP |
| Apr 4 2015 |
Supreme Court Issues Guidance on Disclosure of Opinions in Registration Statements |
Greenberg Traurig, LLP |
| Apr 3 2015 |
Second Circuit Denies DOJ’s Request for En Banc Review of Newman |
Proskauer Rose LLP |
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