| Mar 26 2015 |
FINRA Seeks Comment on Proposal Requiring Registration of Associated Persons Who Develop Algorithmic Trading Strategies |
Katten |
| Mar 26 2015 |
SEC's New Regulation A+ and the States' M Word (Merit Review) |
Lewis Roca Rothgerber LLP |
| Mar 26 2015 |
Omnicare Decision Clarifies Grounds for Section 11 Liability re: Securities |
Morgan, Lewis & Bockius LLP |
| Mar 26 2015 |
Omnicare Clarifies Standards for Liability for Statements of Opinion Under Section 11 |
Hunton Andrews Kurth |
| Mar 26 2015 |
SEC Adopts Regulation A+: New Registration Option For Small and Mid-Sized Companies |
Mintz |
| Mar 25 2015 |
Supreme Court Opines on Opinions v. Facts in the Sale of Securities |
Michael Best & Friedrich LLP |
| Mar 25 2015 |
Supreme Court Holds That Issuers Can Be Liable for Omitting Material Facts From Statements of Opinion in Omnicare Case |
Mintz |
| Mar 25 2015 |
Supreme Court Clarifies Liability for Statements of Opinion in Registration Statements re: Securities |
Proskauer Rose LLP |
| Mar 24 2015 |
Do Founders Really Control Their Company with 51% Ownership? |
Foley & Lardner LLP |
| Mar 24 2015 |
Should The SEC Adopt Governance Principles (For Itself)? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Mar 23 2015 |
More “Broken Windows”: SEC Charges Schedule 13D Filers with Disclosure Violations for Failing to Update Ownership Reports |
Mintz |
| Mar 23 2015 |
SEC’s Limit on Retroactivity of Dodd-Frank Whistleblower Bounty Awards Is Reasonable, Second Circuit Holds |
Proskauer Rose LLP |
| Mar 23 2015 |
SEC Approves ISE Rules on Information Barriers Between Customer and Proprietary Business |
Katten |
| Mar 23 2015 |
CBOE Proposes Amendments to Trading Permit Holder and Direct Access Qualifications |
Katten |
| Mar 23 2015 |
Delaware Proposal Banning Fee-Shifting and Permitting Exclusive Forum Provisions |
Katten |
| Mar 23 2015 |
SEC Charges Insiders for Failure to Update Schedule 13D Disclosures |
Katten |
| Mar 23 2015 |
California Corporations Code Section 25501.5 – I Ask Again What Do It Mean? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Mar 22 2015 |
CFE Amends Rules on ECRPs and Block Trades |
Katten |
| Mar 22 2015 |
FINRA Issues Notice on Background Checks for Registration Applicants |
Katten |
| Mar 22 2015 |
SEC Staff Issues New FAQs on Regulation SHO |
Katten |
| Mar 20 2015 |
CFTC Issues an Exemption to HKSFC Permitting US Customers to Deal Directly with Hong Kong Brokers |
Katten |
| Mar 20 2015 |
Global Regulators Push Back Margin Requirements for Non-Cleared Derivatives |
Katten |
| Mar 20 2015 |
Not All Investors Are Created Equal In The Eyes of the SEC: Why You Should Consider Only Accredited Investors in Your Startup |
Varnum LLP |
| Mar 20 2015 |
Factors the SEC Considers When Deciding Whether to Grant a Waiver to a Statutory Disqualification |
Mintz |
| Mar 20 2015 |
CFTC Approves Final Rule on Residual Interest Deadline for FCMs |
Katten |
| Mar 20 2015 |
Bank of New York Mellon Agrees To Pay $714 Million to Resolve Claims Regarding Foreign Exchange Fraud |
Tycko & Zavareei LLP |
| Mar 20 2015 |
Stock and Asset Sales: Tax Consequences of Each Transaction |
McBrayer, McGinnis, Leslie and Kirkland, PLLC |
| Mar 20 2015 |
SEC Considers Active ETF Listing Standards, Approves Paired Class ETP |
Morgan, Lewis & Bockius LLP |
| Mar 19 2015 |
Crowdfunding? Really? Crowdfunding Rule under the JOBS Act |
Lewis Roca Rothgerber LLP |
| Mar 19 2015 |
Executive Compensation Disclosures a Wasted Effort? |
Squire Patton Boggs (US) LLP |
| Mar 19 2015 |
SEC No-Action Letter Permits Non-ERISA Retirement Plans to Issue Participant Fee Disclosures Without Violating Securities Laws |
McDermott Will & Emery |
| Mar 19 2015 |
Pre-Emption Group Makes Important Changes to Pre-Emption Principles re: UK Incorporated Companies |
Squire Patton Boggs (US) LLP |
| Mar 17 2015 |
Exclusive Study Analyzes 2014 IPOs - Initial Public Offerings |
Proskauer Rose LLP |
| Mar 16 2015 |
SEC Releases Results of Cybersecurity Exam Sweep |
Brooks, Pierce, McLendon, Humphrey & Leonard, LLP |
| Mar 16 2015 |
SEC Approval of New FINRA Public Arbitrator Rule Imposes New Limits on the Pool of Potential Public Arbitrators |
Proskauer Rose LLP |
| Mar 16 2015 |
SEC Whistleblower Inquiry Raises Concerns About Protection of Confidential and Privileged Information |
Mintz |
| Mar 14 2015 |
CFTC Responds to District Court’s Remand Order on Certain Cross-Border Swaps Rules |
Katten |
| Mar 14 2015 |
Derivatives Regulatory Alert |
ArentFox Schiff LLP |
| Mar 13 2015 |
NYSE Amends “Late Filer Rule” |
Katten |
| Mar 13 2015 |
Delaware Chancery Court Addresses Proper Purpose for Inspection Demand |
Katten |
| Mar 13 2015 |
Current and Former SEC Officials Speak About Enforcement Issues Concerning Municipal Securities |
Mintz |
| Mar 13 2015 |
Employment Related Securities and Mobile Employees in the UK – Are You Ready For April? |
Squire Patton Boggs (US) LLP |
| Mar 12 2015 |
Foreign Venture Capital Investments in Sub-Saharan African Technology Startups |
Greenberg Traurig, LLP |
| Mar 12 2015 |
Advisory Committee’s Recommendations: Positive Sign for South Florida Companies |
Bilzin Sumberg |
| Mar 12 2015 |
California Department of Business Oversight (DBO) Warns Victims Not To Be Victimized Twice |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Mar 10 2015 |
Office of Compliance Inspections and Examinations (OCIE) Releases 2015 Examination Priorities |
Vedder Price |
| Mar 10 2015 |
Texas High Court Extends Limitations Period for Unpaid Partnership Liabilities |
Hunton Andrews Kurth |
| Mar 10 2015 |
Residential Mortgage-backed Securities (RMBS) Expert Partially Nixed by New York Federal Court |
IMS Legal Strategies |
| Mar 10 2015 |
SEC Proposes Rules for Disclosure of Hedging by Employees, Officers and Directors |
Vedder Price |
| Mar 10 2015 |
SEC Settles Charges Against Adviser for Failure to Maintain Fund Assets with Qualified Custodian and Other Compliance Violations |
Vedder Price |
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