Oct 3 2014 |
Commodity Futures Trading Commission (CFTC) Settles Fraudulent Trading Violations with Forex Trader |
Katten |
Oct 3 2014 |
Attorney-Client Privilege No Shield to Stockholder’s Demand for Internal Review Documents, Delaware High Court Rules |
Jackson Lewis P.C. |
Oct 3 2014 |
Commodites Futures Trading Commission (CFTC) Extends Relief to Derivatives Clearing Organizations (DCO) and Their Clearing Members from Requirements for Credit Default Swaps (CDS) Clearing-Related Swaps |
Katten |
Oct 3 2014 |
European Securities and Markets Authority (ESMA) Consults on Draft Guidelines Clarifying the Definition of “Derivatives” Under Markets in Financial Instruments Directive (MiFID) |
Katten |
Oct 3 2014 |
Financial Industry Regulatory Authority, Inc (FINRA) Requests Comment on a Rule Proposal to Implement the Comprehensive Automated Risk Data System |
Katten |
Oct 3 2014 |
New California Law Aims At Clarifying Status Of Ex Officio Directors |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Oct 3 2014 |
Fiduciary Access to Digital Assets and Accounts - Uniform Fiduciary Access to Digital Assets Act “UFADAA” |
Proskauer Rose LLP |
Oct 3 2014 |
New EU Competition Commissioner’s Priorities For 2014-2019: Hearing Before The European Parliament |
McDermott Will & Emery |
Oct 2 2014 |
Public Company Accounting Oversight Board (PCAOB)’s Standard-Setting Agenda: No New Adoptions of Substantive Audit Standards |
Morgan, Lewis & Bockius LLP |
Oct 2 2014 |
Just How Many Ways Are There To Become A Director in a California Corporation? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Oct 2 2014 |
Re-Proposal of DOL Fiduciary Advice Regulation |
Faegre Drinker |
Oct 1 2014 |
Upcoming Supreme Court Securities Cases |
Mintz |
Oct 1 2014 |
The General Counsel Is Not The Shareholders’ Agent |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Oct 1 2014 |
D.C. Court Dismisses Challenge to SEC Pay to Play Rule (For Now) |
Covington & Burling LLP |
Oct 1 2014 |
Commodity Futures Trading Commission (CFTC) Finalizes Exception for Swaps with Utility Special Entities |
McDermott Will & Emery |
Sep 30 2014 |
Public Company Accounting Oversight Board (PCAOB): Selected Auditing Developments |
Faegre Drinker |
Sep 30 2014 |
SEC Charges Public Companies and Insiders with Violating Stock Ownership Reporting Requirements |
Hunton Andrews Kurth |
Sep 30 2014 |
SEC Announces Highest Whistleblower Award to Date |
Faegre Drinker |
Sep 30 2014 |
Cyber Liability Insurance: Where’s the Beef? |
Mintz |
Sep 30 2014 |
California Governor Signs Bill Narrowing Grounds for Business Entity Reinstatement |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Sep 29 2014 |
SEC’s “Gatekeeper” Enforcement Initiative Impacts Directors |
Faegre Drinker |
Sep 29 2014 |
Can Regulation A+ Deliver on JOBS Act Capital Efficiency Promises? |
Faegre Drinker |
Sep 29 2014 |
The “Bad Actor” Rule: SEC and Dodd-Frank Act |
Faegre Drinker |
Sep 29 2014 |
SEC Awards $30 Million to Overseas Whistleblower |
Mintz |
Sep 29 2014 |
1, 2 or 3 Years? How Should Boards Decide The Frequency Of Say-On-Pay Votes? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Sep 28 2014 |
London Metal Exchange Provides Revised Guidance on Structure, Terminology and Order Execution |
Katten |
Sep 27 2014 |
Update on ESMA Clearing Obligations for Credit Default Swaps - European Securities and Markets Authority |
Katten |
Sep 27 2014 |
ESOP 101: 4 Tips for Business Owners |
U.S. Department of Labor |
Sep 26 2014 |
Organisation of Economic Co-operation and Development (OECD) Publishes Initial Recommendations on BEPS (Base Erosion and Profit Sharing) |
Katten |
Sep 26 2014 |
SEC Obtains Asset Freeze of Turks and Caicos Company Conducting Ponzi Scheme |
Katten |
Sep 26 2014 |
Shareholder Activism: An Overview from the Company Perspective |
Mintz |
Sep 26 2014 |
SEC Releases Strategic Plan for 2014–2018 |
Katten |
Sep 25 2014 |
SEC Announces Record Whistleblower Award Of Over $30 Million |
Jackson Lewis P.C. |
Sep 25 2014 |
Further Changes to Form CPO-PQR and Form CTA-PR - Commodity Pool Operators |
Vedder Price |
Sep 25 2014 |
Potential CPO (Commodity Pool Operator) and CTA (Commodity Trading Advisor) Registration Relief for Registered Investment Companies |
Vedder Price |
Sep 25 2014 |
New CME Rule 575 on Disruptive Trading Practices - Chicago Mercantile Exchange, Chicago Board of Trade, New York Mercantile Exchange and Commodity Exchange, Inc. |
Vedder Price |
Sep 25 2014 |
Form CPO-PQR Relief for CPOs (Commodity Pool Operators) to Certain Exempt or Excluded Pools |
Vedder Price |
Sep 24 2014 |
CFTC Relief to Use Additional Third-Party Recordkeepers |
Vedder Price |
Sep 24 2014 |
Commodity Pool Operator (CPO) Reporting Relief for a Parent Pool and Its Trading Subsidiary |
Vedder Price |
Sep 24 2014 |
More Swaps Margin Rules; Manipulation Settlement; HFT Capital Violation; FX Futures Block Thresholds; Eating Evidence - Bridging the Week: September 15 to 19 and 22, 2014 [VIDEO] |
Katten |
Sep 24 2014 |
CFTC Relief from Provisions of Rules 4.7(b) and 4.13(a)(3) to Harmonize with JOBS Act Amendments to Rule 506(c) and Rule 144A |
Vedder Price |
Sep 24 2014 |
Transcorp Hotel’s $48.8M IPO Shows Nigeria Remains Leading Choice for Hotel Industry Investments |
Covington & Burling LLP |
Sep 23 2014 |
Compliance Officers’ Liability When Engaging and Remediating Problems at Investment Management Firms |
Sheppard, Mullin, Richter & Hampton LLP |
Sep 23 2014 |
SEC Announces $30 Million-Plus Whistleblower Award |
Proskauer Rose LLP |
Sep 23 2014 |
Dodd-Frank Whistleblower Activity Getting Even Hotter |
Barnes & Thornburg LLP |
Sep 23 2014 |
SEC Announces Record Whistleblower Award |
Greenberg Traurig, LLP |
Sep 23 2014 |
Oxfam America Takes A Stand, But Does It Have Standing? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Sep 22 2014 |
Second Circuit Holds Forum Selection Clause Supersedes FINRA’s Mandatory Arbitration Rule |
Sheppard, Mullin, Richter & Hampton LLP |
Sep 22 2014 |
Top 10 Tips For Qui Tam Whistleblowers |
Tycko & Zavareei LLP |
Sep 22 2014 |
Recent SEC Enforcement Actions Highlight Risks of Failing to Timely File Reports of Beneficial Ownership |
Vedder Price |