| Aug 15 2014 |
SEC’s Office of Investor Education and Advocacy Releases Alert on Identifying Fraudulent Private Placements |
Katten |
| Aug 15 2014 |
Second Circuit Holds That Dodd-Frank Act Does Not Protect Whistleblower Outside U.S. Territory |
Mintz |
| Aug 15 2014 |
Some Questions About Delaware’s New Law Allowing Parties To Extend The Statute Of Limitations |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Aug 15 2014 |
Securities Fraud: Cherry-Picking & Soft Dollars |
Sheppard, Mullin, Richter & Hampton LLP |
| Aug 14 2014 |
SEC Whistleblower Program: What’s Happening with Whistleblowing? |
Mintz |
| Aug 13 2014 |
10th Circuit Relies On Earnings Release and Compliance with Regulation S-K to Reject Claim of Material Omissions in Public Offering |
Morgan, Lewis & Bockius LLP |
| Aug 13 2014 |
Has California Lost Its Jurisdictional Anchor For Securities Fraud Actions? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Aug 9 2014 |
SEC Brings Fraud Charges Against Oil and Gas Company and Its CEO |
Katten |
| Aug 8 2014 |
SEC Charges CEO and Former CFO with Violation of Sarbanes-Oxley |
Katten |
| Aug 8 2014 |
SEC Commissioner Highlights Need for Cyber-Risk Management in Speech at New York Stock Exchange |
Proskauer Rose LLP |
| Aug 7 2014 |
Judge Rakoff of Southern District of New York Continues to Question Adequacy of Judicial Oversight of SEC |
Barnes & Thornburg LLP |
| Aug 7 2014 |
SEC Re-Proposes Amendments to Remove References to Credit Ratings from Money Market Fund Rule |
Vedder Price |
| Aug 7 2014 |
Key Reforms of the Russian Civil Code for Legal Entities |
Morgan, Lewis & Bockius LLP |
| Aug 7 2014 |
SEC Adopts Money Market Fund Rule Amendments |
Vedder Price |
| Aug 7 2014 |
Sarbanes–Oxley (SOX) Claim Dismissed: Rejection of IP Assignment Clause Not Protected Activity |
Proskauer Rose LLP |
| Aug 7 2014 |
Loan Market Association Publishes Documentation for Developing African Markets |
Greenberg Traurig, LLP |
| Aug 6 2014 |
Florida DFS Unclaimed Property Grab “Clearly Erroneous” |
Faegre Drinker |
| Aug 6 2014 |
This Court’s Ruling Puts the Opinion in Auditor’s Internal Control Opinion |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Aug 6 2014 |
FERC Alleges PJM Manipulation by Powhatan |
Bracewell LLP |
| Aug 5 2014 |
Recent SEC Enforcement Action on Internal Control Despite No Other Alleged Violations |
Morgan, Lewis & Bockius LLP |
| Aug 4 2014 |
Does Dodd-Frank Act Protect Whistleblower Who Did Not Report to SEC? |
Jackson Lewis P.C. |
| Aug 4 2014 |
SEC Modifies MCDC Terms: Extends Issuer Deadline to 12/01/2014, Lowers Penalty Cap for Small Underwriters; Recognizes Pre-EMMA Limitations |
Bracewell LLP |
| Aug 4 2014 |
Delaware Amends its General Corporation Law, Limited Liability Company and Limited Partnership Acts |
Michael Best & Friedrich LLP |
| Aug 4 2014 |
New York Federal Court Limits Scope of SEC Disgorgement In Case Involving Failure to Disclose Beneficial Interests |
Mintz |
| Aug 4 2014 |
Amerco Stockholder Proposal Seeks To Ratification Of All Decisions And Actions |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Aug 3 2014 |
Former Chief Operating Officer Settles SEC Fraud Claims - Harbinger Capital Partners LLC |
Katten |
| Aug 1 2014 |
Smith & Wesson Pays $2 Million to Resolve SEC Charges |
Katten |
| Aug 1 2014 |
Shuffleboard, Early Bird Specials, and . . . Whistleblowing? |
Mintz |
| Jul 31 2014 |
Codifying Independent Parent Company Guarantee Practice for Upstream Oil and Gas Transactions: Food for Thought |
Hunton Andrews Kurth |
| Jul 30 2014 |
Studies Provide Useful Data About Restatements Filed by Companies Since 2003 |
Morgan, Lewis & Bockius LLP |
| Jul 30 2014 |
SEC Denies Whistleblower Award Claim for Harbinger-Falcone Recovery |
Proskauer Rose LLP |
| Jul 29 2014 |
SEC Obtains Cease and Desist Order, Fine Regarding Foreign Corrupt Practices Act Violations by Gun Maker |
Jackson Lewis P.C. |
| Jul 29 2014 |
The “Accredited Investor” Question Re: Securities Regulation |
Lewis Roca Rothgerber LLP |
| Jul 29 2014 |
The SEC Has Discovered Its Whistleblower Program |
Steptoe & Johnson PLLC |
| Jul 25 2014 |
SEC Settles Third-Party Insider Trading Claim Against New York Investor Relations Executive |
Katten |
| Jul 25 2014 |
SEC Issues Guidance on Proxy Voting |
Katten |
| Jul 25 2014 |
SEC Approves FINRA Rule Limiting Expungement |
Katten |
| Jul 25 2014 |
Commodity Futures Trading Commission (CFTC) Releases Rule Enforcement Review of ICE Futures U.S. |
Katten |
| Jul 25 2014 |
Institutional Shareholder Services Inc. (ISS) Seeks Input From Constituents for 2015 Compensation and Governance Proxy Guidelines |
Womble Bond Dickinson (US) LLP |
| Jul 24 2014 |
Watchdogs Petition SEC to Strengthen Prohibitions Against Impeding Complaints to SEC |
Proskauer Rose LLP |
| Jul 24 2014 |
SEC Adopts Amendments to Money Market Fund Rules |
Faegre Drinker |
| Jul 24 2014 |
In This California Securities Case, Placement Agent Status Was Better Than Underwriter Status |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jul 23 2014 |
Bitcoin – Is Anyone In Charge? |
Barnes & Thornburg LLP |
| Jul 23 2014 |
Citigroup Settles with DOJ for $7 Billion |
Bilzin Sumberg |
| Jul 23 2014 |
Facebook/Oculus VR (Virtual Reality) Acquisition Raises Pseudo-Foreign Corporation Question |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jul 22 2014 |
SEC Fulfills Promise to Bring Whistleblower Retaliation Actions under Dodd-Frank Act |
Jackson Lewis P.C. |
| Jul 22 2014 |
Public Company Accounting Oversight Board (PCAOB) Focuses on Cybersecurity at Standing Advisory Group Meeting |
Morgan, Lewis & Bockius LLP |
| Jul 22 2014 |
SEC Staff Issues Guidance on Verifying Accredited Investor Status |
Hunton Andrews Kurth |
| Jul 22 2014 |
International Securities Exchange, LLC v. Chicago Board Options Exchange, Incorporated, Decision Granting Additional Discovery IPR2014-00097, 98 |
Faegre Drinker |
| Jul 21 2014 |
Reader Responds to Recent Law Judge Blog Post on the SEC and the Increase in ALJs |
Barnes & Thornburg LLP |
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