Jun 8 2021 |
Fixing FICC: Agency Proposes Rule Changes to Encourage More Repo Clearing |
Norris McLaughlin P.A. |
Jun 8 2021 |
How to “Perfect” an SEC Whistleblower Tip to Qualify for an SEC Whistleblower Award |
Zuckerman Law |
Jun 8 2021 |
Before the Supreme Court of the United States |
Wilson Elser Moskowitz Edelman & Dicker LLP |
Jun 7 2021 |
Biden Administration ESG Activity Accelerates |
K&L Gates |
Jun 7 2021 |
When the Dust Settles: A Closer Look at the SPAC Boom and Potential Litigation to Follow [WEBINAR] |
Mintz |
Jun 4 2021 |
SPAC Chat Ep. 5: Tempering the SPAC Hype [PODCAST] |
Mintz |
Jun 4 2021 |
Under Armour, Inc. Settles Securities and Exchange Commission Enforcement Action Targeting Undisclosed Practice of Pulling Sales Forward to Obscure Gaps in Projected Quarterly Revenues |
Nelson Mullins |
Jun 4 2021 |
Unsuccessful Derivative Plaintiff Found Personally Liable For Defendant's Attorneys' Fees |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Jun 2 2021 |
SEC Publishes Lists of Rules Scheduled for Review under Regulatory Flexibility Act |
Vedder Price |
Jun 2 2021 |
Private Funds in the Hot Seat under Gensler's SEC |
Foley & Lardner LLP |
Jun 2 2021 |
SEC Files Suit Against Five Alleged Promoters of Crypto Lending Program |
Nelson Mullins |
Jun 2 2021 |
SEC Whistleblowers Receive Awards of $10 Million and $13 Million |
Kohn, Kohn & Colapinto |
Jun 2 2021 |
SEC’s Division of Examinations Issues Risk Alert Cautioning Firms to Comply with Suspicious Activity Monitoring and Reporting |
Vedder Price |
Jun 1 2021 |
SEC’s Division of Examinations Issues Risk Alert on ESG Investing |
Vedder Price |
Jun 1 2021 |
SEC Staff Reaffirms Guidance for Conducting Shareholder Meetings during Pandemic |
Vedder Price |
Jun 1 2021 |
Game On: FINRA Hints at Upcoming Gamification Sweep |
Sheppard, Mullin, Richter & Hampton LLP |
May 27 2021 |
SEC Brings “Naked Short Selling” Case |
Winstead |
May 27 2021 |
NYSE Amends Related Party Transaction Approval Rule |
Mintz |
May 27 2021 |
Margin, I Have to Have More Margin: The National Securities Clearing Corporation Proposes to Increase the Minimum Required Fund Deposit |
Norris McLaughlin P.A. |
May 27 2021 |
Cleaning Up Crypto: How Whistleblowers Can Help Stop Cryptocurrency Scams, Money Laundering, and Tax Evasion, and Make Money Doing It |
Tycko & Zavareei LLP |
May 27 2021 |
Securities Litigation Update: First Circuit Endorses Broad View of Extraterritorial Reach of the Federal Securities Laws, Cementing Split with the Second Circuit on the Meaning of a “Domestic” Transaction |
Cadwalader, Wickersham & Taft LLP |
May 26 2021 |
NYSE Amends Shareholder Approval Rules |
Mintz |
May 26 2021 |
Review of the SEC Whistleblower Program: At the Crossroads of Securities Law and Whistleblower Protection |
Proskauer Rose LLP |
May 26 2021 |
“We are not going to be moving slowly” SEC Director on ESG Disclosure Requirements |
Kohn, Kohn & Colapinto |
May 25 2021 |
Data Integrity: The SEC Sanctions S & P Dow Jones Indices LLC |
Norris McLaughlin P.A. |
May 25 2021 |
2021 Q1 Amendments to Alternative Investment Funds Framework |
Nishith Desai Associates |
May 25 2021 |
ESG Status Quo Persists For Now, Gensler Signals Rulemaking Forthcoming |
Proskauer Rose LLP |
May 24 2021 |
SEC Staff Statement on Registered Funds Investing in Bitcoin Futures |
Foley & Lardner LLP |
May 24 2021 |
OCIE Adds ESG/SRI to Routine Adviser Exam Requests |
Foley & Lardner LLP |
May 24 2021 |
Whistleblower Awards from the U.S. Securities and Exchange Commission |
Barnes & Thornburg LLP |
May 24 2021 |
Blockchain & Digital Assets: Tax Audits, Litigation & Criminal Tax Defense |
Greenberg Traurig, LLP |
May 24 2021 |
Corporations Code Saves Church Property |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
May 20 2021 |
Too Much Bother: Broker/Dealer Affiliate of An Insurer Catering to Retirement Plans |
Norris McLaughlin P.A. |
May 20 2021 |
SEC Awards Four Whistleblowers More Than $31 Million |
Proskauer Rose LLP |
May 20 2021 |
Ninth Circuit Holds Loss Causation Required For California Securities Claim |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
May 19 2021 |
Whistleblower Receives $28 Million for Assisting SEC, Other Agency in Investigation into Company |
Kohn, Kohn & Colapinto |
May 18 2021 |
Under Armour Inc. Pulls Sales Forward, SEC and Stockholders Push Back |
Proskauer Rose LLP |
May 18 2021 |
Raising the Bar: SEC to Propose Increased Thresholds for Performance-Based Fees |
Norris McLaughlin P.A. |
May 17 2021 |
Underperforming SPAC Still Subject to Federal Claims in Securities Class Action |
Proskauer Rose LLP |
May 14 2021 |
SEC Staff of Division of Investment Management Issues Statement on Registered Funds Investing in Bitcoin Futures |
Vedder Price |
May 14 2021 |
ESG: European Commission Consults on Draft Delegated Regulation of Disclosure Obligations Under Taxonomy Regulation |
Katten |
May 14 2021 |
SEC Division of Investment Management Staff Publishes Public Statement on Funds Registered Under Investment Company Act Investing in Bitcoin Futures Market |
Katten |
May 14 2021 |
SEC Emerges as Main Regulator of Cryptocurrency |
Barnes & Thornburg LLP |
May 13 2021 |
SEC to Move Quickly on Proposed ESG Disclosures |
K&L Gates |
May 13 2021 |
An Overview of SEC Defense |
Oberheiden P.C. |
May 13 2021 |
Focus on ESG Will Continue to Grow Under Biden Administration |
Proskauer Rose LLP |
May 13 2021 |
SEC Staff Issues Statement on Bitcoin Futures |
Hunton Andrews Kurth |
May 12 2021 |
Upcoming/New; Post-Closing CFIUS Filing: Sina Corporation and TuSimple Holdings Inc. |
Squire Patton Boggs (US) LLP |
May 12 2021 |
Investment Adviser to Mutual Fund Cited for Undisclosed Conflicts |
Foley & Lardner LLP |
May 12 2021 |
Anonymous SEC Whistleblower Receives $3.6 Million Award |
Kohn, Kohn & Colapinto |