Jan 14 2015 |
New Best Execution Requirement for Municipal Securities Transactions |
Morgan, Lewis & Bockius LLP |
Jan 14 2015 |
NASAA Launches Streamlined Electronic Multi-State Private Offering Filing System --North American Securities Administrators Association |
Barnes & Thornburg LLP |
Jan 13 2015 |
SEC Sanctions Two Exchanges for Failing to Accurately Describe Order Types and Making Preferential Disclosure to High Frequency Traders |
Proskauer Rose LLP |
Jan 13 2015 |
SEC Settles with Investment Advisory Firm over Claims of False Performance Advertising |
Vedder Price |
Jan 13 2015 |
SEC Chair and FSOC Comment on Asset Management Regulation and Systemic Risk --Financial Stability Oversight Council |
Vedder Price |
Jan 13 2015 |
SEC Extends Temporary Rule Regarding Adviser Principal Trades |
Vedder Price |
Jan 13 2015 |
SEC Approves FINRA Rule Strengthening Background Checks |
Proskauer Rose LLP |
Jan 12 2015 |
SEC Approves Amendments to NASD Rule 2340 and FINRA Rule 2310 to Address Values of Direct Participation Program and Unlisted Real Estate Investment Trust Securities |
Katten |
Jan 12 2015 |
Proxy Access Proposal: ‘Tis A “Bootless Labour” To Ask The Staff To Appeal Its Own No-Action Advice |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Jan 12 2015 |
SEC Approves FINRA Rule Proposal Regarding Responsibilities of FINRA Member Firms to Investigate Applicants for Registration |
Katten |
Jan 12 2015 |
CFTC Staff Extends No-Action Relief for Certain FCMs from Receipt of Depository Acknowledgment Letters |
Katten |
Jan 12 2015 |
ICE Futures U.S. Adopts Disruptive Trading Practices Rule |
Katten |
Jan 11 2015 |
SEC Proposes Rule Amendments to Implement JOBS Act Registration Thresholds |
Katten |
Jan 10 2015 |
CFTC Staff Grants No-Action Relief to Entities Operating Insurance-Linked Securities Issuers |
Katten |
Jan 9 2015 |
SEC Charges Chilean Citizens With Insider Trading Concerning Tender Offer for Chilean |
Katten |
Jan 8 2015 |
CFTC Reopens Comment Period for Position Limits - Commodity Futures Trading Commission |
Covington & Burling LLP |
Jan 8 2015 |
FINRA’s 2015 Examination Priorities Zero In On Abusive Trading Algorithms and Other Issues Involving Trading Technology |
Proskauer Rose LLP |
Jan 7 2015 |
More Questions About California’s Limited Offers Section 25102(f) Exemption - Corporations |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Jan 6 2015 |
Avon Settles FCPA Charges - Foreign Corrupt Practices Act |
Faegre Drinker |
Jan 6 2015 |
Second Circuit Overturns Insider Trading Convictions of Two Portfolio Managers |
Bracewell LLP |
Jan 6 2015 |
Delaware Supreme Court Confirms Chancery Court’s Broad Authority to Impose Use Restrictions on Information Obtained From Section 220 Books and Records Inspections |
Sheppard, Mullin, Richter & Hampton LLP |
Jan 6 2015 |
Removing California Securities Legends |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Jan 6 2015 |
Ninth Circuit Holds that Under Nevada Law, a Prior Stockholder’s Litigation of Demand Futility Precludes Another Stockholder From Litigating Demand Futility In a Subsequent Derivative Action |
Sheppard, Mullin, Richter & Hampton LLP |
Jan 5 2015 |
Disruptive Trading, Block Trades, Customer Protection, NDF Clearing, MF Global: Bridging the Weeks: December 22, 2014, to January 2 and 5, 2015 [VIDEO] |
Katten |
Jan 5 2015 |
Recurrent Rogations Regarding California’s Section 25102(f) Exemption re: California Corporate Securities Law |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Jan 4 2015 |
UC Ventures: How One Very Large Public University System is Setting an Example. Or is it? |
Greenberg Traurig, LLP |
Jan 4 2015 |
Pro Se Not Welcome at PTAB |
McDermott Will & Emery |
Jan 4 2015 |
10 Tips for Entrepreneurs Seeking Capital |
Greenberg Traurig, LLP |
Jan 4 2015 |
SEC Publishes New Regulation AB Compliance and Disclosure Interpretations |
Morgan, Lewis & Bockius LLP |
Jan 3 2015 |
Federal Reserve Issues Extension of Volcker Rule Conformance Period for Legacy Covered Fund Positions |
Morgan, Lewis & Bockius LLP |
Dec 30 2014 |
SEC Working Papers Suggest Market Benefits from Certain Types of High-Frequency and Low-Latency Trading |
Proskauer Rose LLP |
Dec 30 2014 |
Delaware Supreme Court Holds That Court of Chancery Can Restrict Forum Where Books and Records Can Be Used |
Mintz |
Dec 29 2014 |
Second Circuit Holds RMBS-issued (Residential Mortgage-backed Securities) Certificates Are Exempt from the Trust Indenture Act (TIA) |
Sheppard, Mullin, Richter & Hampton LLP |
Dec 29 2014 |
SEC Proposes Changes to Exchange Act Rules to Implement Title V and Title VI of the JOBS Act |
Mintz |
Dec 29 2014 |
The SEC Pay-to-Play Rule Year in Review |
Covington & Burling LLP |
Dec 29 2014 |
This “Appeal” Of Whole Foods’ No-Action Letter Isn’t Very Appealing |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Dec 27 2014 |
Work with an Attorney to Maintain Ownership of Business |
McBrayer, McGinnis, Leslie and Kirkland, PLLC |
Dec 24 2014 |
Shareholder Rights Project Rewrites Website |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Dec 23 2014 |
Criminal Insider Trading Convictions Overturned In Far-Reaching Ruling |
Barnes & Thornburg LLP |
Dec 23 2014 |
SEC Condemns Breach Of Client Confidences While Offering Possible Bounties For Breaches |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Dec 23 2014 |
New York Times Discusses the Growth of Whistleblower Programs |
Proskauer Rose LLP |
Dec 22 2014 |
SEC’s Second Amicus Brief On Whether Dodd-Frank Protects Internal Reports |
Proskauer Rose LLP |
Dec 22 2014 |
MiFID II, MiFIR, Block Trade Washes, AlphaMetrix, Charges for Cash, Bitcoin Options Exchange, Trading System Failures - Bridging the Week: December 15 to 19 and 22, 2014 |
Katten |
Dec 22 2014 |
Ninth Circuit Clarifies Pleading Standard for Securities-Fraud Claims |
Proskauer Rose LLP |
Dec 22 2014 |
There’s No Place Like Home: SEC Increasingly Uses Administrative Proceedings |
Morgan, Lewis & Bockius LLP |
Dec 22 2014 |
The Shareholder Rights Project: Advice And Representation |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Dec 22 2014 |
Southern District Dismisses Complaints Against China North Director and Consultant |
Katten |
Dec 21 2014 |
Congress Eases Debt Level Restrictions for Smaller Banks, Thrifts |
Katten |
Dec 21 2014 |
SEC Urges Third Circuit to Adopts Its Interpretation of Whistleblower Retaliation Protections |
Katten |
Dec 19 2014 |
CFTC Approves Amended Order of Registration for LCH.Clearnet Ltd. |
Katten |