| Jul 18 2014 |
Commodity Futures Trading Commission (CFTC) Seeks Comment on ICE Clear Europe Portfolio Margining Proposal |
Katten |
| Jul 18 2014 |
Federal Deposit Insurance Corporation (FDIC) Proposes Changes to Assessments Rule |
Katten |
| Jul 18 2014 |
Ninth Circuit Defines Vicarious Liability Standard Under the Telephone Consumer Protection Act (TCPA) |
Katten |
| Jul 18 2014 |
New York Department of Financial Services Proposes First Comprehensive Regulatory Framework for Virtual Currency Businesses |
Katten |
| Jul 18 2014 |
Financial Industry Regulatory Authority (FINRA) Proposes to Adopt Rules on Quotation Requirements for Over-the-Counter Equity Securities |
Katten |
| Jul 18 2014 |
Securities and Exchange Commission (SEC) Adopts First Installment of Rules for Cross-Border Security-Based Swap Activity |
Katten |
| Jul 17 2014 |
SEC Clarifies Certain Proxy Voting Responsibilities of Investment Advisers and Availability of Exemptions from Proxy Rules for Proxy Advisory Firms |
Faegre Drinker |
| Jul 17 2014 |
The Volcker Rule – The Conformance Period is Approaching |
Michael Best & Friedrich LLP |
| Jul 16 2014 |
The Gabelli Effect: How the Supreme Court’s Decision Is Impacting Enforcement Actions |
Barnes & Thornburg LLP |
| Jul 16 2014 |
Plan Sponsors' Decision to Change Form of Employer Contributions Not A Fiduciary Function |
Proskauer Rose LLP |
| Jul 15 2014 |
Recent Amendments to Mexican Commercial Laws |
Greenberg Traurig, LLP |
| Jul 15 2014 |
SEC Focuses on Burgeoning Liquid Alternative Funds Market |
Katten |
| Jul 15 2014 |
Texas Supreme Court Rejects a General Cause of Action for Minority Shareholder Oppression |
Bracewell LLP |
| Jul 15 2014 |
The Consumer Financial Protection Bureau (CFPB), Recent Developments: June 16, 2014 - June 20, 2014 |
Greenberg Traurig, LLP |
| Jul 15 2014 |
Financial Accounting Standards Board (FASB) Works on Projects to Help Investors and Preparers |
Morgan, Lewis & Bockius LLP |
| Jul 14 2014 |
Big Banks Argue that Shorter Limitations Period Should Apply to MBS (Mortgage Backed Securities) Claims |
Bilzin Sumberg |
| Jul 14 2014 |
The SEC Provides Guidance on Custody Rule Compliance for Private Fund Special Purpose Vehicles (SPVs) and Escrow Accounts |
Faegre Drinker |
| Jul 14 2014 |
Supreme Court Refocuses the 11th Circuit in its Review of an ESOP Fiduciary's Duty of Prudence |
Womble Bond Dickinson (US) LLP |
| Jul 14 2014 |
Supreme Court Returns to ERISA Statutory Basics, Rejects Moench Presumption: Implications for ESOP Trusts Holding Non-Publicly Traded Securities |
Jackson Lewis P.C. |
| Jul 14 2014 |
Puerto Rico Bonds: Legislation and Litigation |
Mintz |
| Jul 14 2014 |
SEC Settles Charges Against Investment Adviser for Improperly Calculating Advisory Fees and Overcharging Clients |
Vedder Price |
| Jul 14 2014 |
SEC Charges Investment Adviser for Undisclosed Revenue Sharing Agreements |
Vedder Price |
| Jul 14 2014 |
Why Doesn’t The SEC Post SubCommittee Recommendations? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jul 14 2014 |
SEC Settles Charges Against Portfolio Manager for Improperly Benefiting Hedge Fund Client at Expense of U.S. Fund Investors |
Vedder Price |
| Jul 13 2014 |
SEC Settles Charges Against Hedge Fund Adviser for Conducting Prohibited Transactions and Retaliating Against Whistleblower |
Vedder Price |
| Jul 12 2014 |
Director of SEC’s Division of Investment Management Provides Insights into Agency’s View of Alternative Mutual Funds and Focus of Upcoming Sweep Exam |
Faegre Drinker |
| Jul 12 2014 |
Supreme Court Modifies Class Certification Procedure in Securities Fraud Class Actions |
Greenberg Traurig, LLP |
| Jul 12 2014 |
New York Jury Acquits Former Hedge Fund Manager of Insider Trading Conspiracy |
Katten |
| Jul 12 2014 |
Office of Compliance Inspections and Examinations (OCIE) Issues Cybersecurity Risk Alert |
Vedder Price |
| Jul 12 2014 |
SEC Settles Civil Foreign Corrupt Practices Act (FCPA) Action Against Two Former Oil Services Executives |
Katten |
| Jul 12 2014 |
SEC Commissioner Confirms Cybersecurity as a Board-Level Concern |
Vedder Price |
| Jul 11 2014 |
CFTC Staff Announces Expedited No-Action Relief for CPO (Commodity Pool Operators) Delegation |
Vedder Price |
| Jul 11 2014 |
SEC Division of Corporation Finance Issues C&DIs Relating to Accredited Investor Verification Methods |
Katten |
| Jul 11 2014 |
SEC Publishes Guidance for Investment Advisers and Proxy Advisory Firms Regarding Proxy Voting and Solicitation |
Katten |
| Jul 11 2014 |
FINRA to Conduct Targeted Examinations Regarding Order Routing and Execution Quality of Customer Orders in Exchange-Listed Stocks |
Katten |
| Jul 11 2014 |
SEC Resolves First Case Under New Municipalities Continuing Disclosure Cooperation Initiative |
Faegre Drinker |
| Jul 10 2014 |
New Administrative Law Judges at the Securities Exchange Commission (SEC) |
Barnes & Thornburg LLP |
| Jul 10 2014 |
SEC Divisions Issue Guidance Regarding Proxy Voting |
Vedder Price |
| Jul 10 2014 |
Legislature Enacts “5 Second Rule” For Electronic Contracts To Sell Real Property |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jul 10 2014 |
SEC Reopens Comment Period on Proposed Target Date Retirement Fund Marketing Rules |
Vedder Price |
| Jul 9 2014 |
Division of Investment Management Issues Guidance Regarding Enhanced Mutual Fund Disclosure |
Vedder Price |
| Jul 9 2014 |
First Issuer Municipalities Continuing Disclosure Cooperation (MCDC) SEC Settlement Announced |
Bracewell LLP |
| Jul 9 2014 |
Two Observations From the SEC’s First Settlement Under its Municipalities Continuing Disclosure Cooperation Initiative |
Mintz |
| Jul 9 2014 |
Public Company Accounting Oversight Board (PCAOB) Adopts New Auditing Standard Regarding Related Party Transactions and Amends Other Auditing Standards |
Hunton Andrews Kurth |
| Jul 9 2014 |
SEC’s First Dodd-Frank Whistleblower Enforcement [VIDEO] |
Proskauer Rose LLP |
| Jul 9 2014 |
Does A Director Have A Contractual Right To Compensation? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jul 8 2014 |
Is the SEC Poised to Bring More Administrative Enforcement Actions In Wake of Insider Trading Trial Court Losses? Yes |
Barnes & Thornburg LLP |
| Jul 8 2014 |
When It Comes To Director Compensation Claims, Nevada And Delaware Are Fundamentally Different |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jul 7 2014 |
Arris Group, Inc. v. C-Cation Technologies, LLC, Order Granting Motion for Additional Discovery IPR2014-00746 |
Faegre Drinker |
| Jul 7 2014 |
Second Circuit Overturns District Court’s Rejection of SEC-Citigroup Fraud Settlement |
Sheppard, Mullin, Richter & Hampton LLP |
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