| Nov 20 2020 |
SEC’s Division of Corporation Finance Issues Updated C&DI Regarding Equity Line Financings |
Katten |
| Nov 20 2020 |
SEC Enforcement Action Cites Bank for Operating Collective Investment Funds as Unregistered Investment Companies: Key Takeaways for Banks and Advisers |
K&L Gates LLP |
| Nov 20 2020 |
Financial Industry Regulatory Authority Arbitration of Employment Disputes |
Jackson Lewis P.C. |
| Nov 20 2020 |
SEC Adopts Amendments Permitting Use of Electronic Signatures for EDGAR Filings |
Katten |
| Nov 20 2020 |
CFTC Unanimously Approves Final Rule Amending SEF Requirements |
Katten |
| Nov 20 2020 |
SEC Division of Corporation Finance Releases Financial Reporting Manual Updates |
Katten |
| Nov 20 2020 |
SEC Amends Exempt Offering Framework |
McDermott Will & Schulte LLP |
| Nov 20 2020 |
OCIE Report Uncovers Repeated Compliance Issues At Advisers' Branch Offices |
Mintz |
| Nov 19 2020 |
SEC Adopts Final Rules Improving and Harmonizing the Exempt Offering Framework |
Jones Walker LLP |
| Nov 19 2020 |
Recent SEC Actions Easing Capital Raising Barriers for Smaller Issuers |
Varnum LLP |
| Nov 19 2020 |
SEC Adopts Rule Changes to Promote Capital Investment and Harmonize Private Placement Framework |
K&L Gates LLP |
| Nov 19 2020 |
SEC Issues $900,000 Award to Whistleblower Who Reported Fraud Occurring Overseas |
Kohn, Kohn & Colapinto |
| Nov 19 2020 |
A Simple Introduction to ISDA’s IBOR Fallbacks Supplement and Protocol |
Vedder Price |
| Nov 19 2020 |
SEC Adopts Rules to Allow the Use of Electronic Signatures |
Mintz |
| Nov 19 2020 |
SEC Actions against Public Companies Decline to Lowest Total since FY 2014 |
Cornerstone Research |
| Nov 19 2020 |
Documenting Rollover Recommendations: The DOL and SEC Requirements |
Faegre Drinker |
| Nov 18 2020 |
India: AAR Applies the ‘look Through’ Approach – Denies Treaty Relief to a Mauritian Entity on Transfer of Indian Shares |
Nishith Desai Associates |
| Nov 18 2020 |
SEC Adopts Rules to Enhance and Improve Exempt Offering Framework |
Polsinelli PC |
| Nov 18 2020 |
SEC Steps Up Enforcement for Unsuitable Sales of Complex ETPs |
Barnes & Thornburg LLP |
| Nov 18 2020 |
SEC Adopts Rule Amendments Aimed at Expanding Access to Capital |
Sheppard, Mullin, Richter & Hampton LLP |
| Nov 17 2020 |
India: Issues and Aspects Concerning Leverage by Category III AIFS |
Nishith Desai Associates |
| Nov 17 2020 |
SEC Whistleblower Program Firing on all Cylinders |
Zuckerman Law |
| Nov 17 2020 |
SEC Commissioner Considers Future ESG Investment Regulation |
Mintz |
| Nov 17 2020 |
NASAA Urges No Liftoff For Finders Relief |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Nov 17 2020 |
SEC Releases Financial Report Confirming the Unprecedented Success of its Whistleblower Program |
Kohn, Kohn & Colapinto |
| Nov 16 2020 |
SEC Adopts Rule Amendments to Improve Exempt Offering Framework |
Sheppard, Mullin, Richter & Hampton LLP |
| Nov 16 2020 |
SEC Adopts Amendments to “Accredited Investor” Definition |
Winstead |
| Nov 16 2020 |
SEC Proposes to Modernize Fund Shareholder Reports and Disclosures |
Godfrey & Kahn S.C. |
| Nov 16 2020 |
New FINRA Rule Limits Registered Persons From Being Named Customer’s Beneficiary |
Jackson Lewis P.C. |
| Nov 13 2020 |
SEC Issues $1.1 Million Whistleblower Award to Individual Whose Independent Reporting Prevented Significant Investor Harm |
Kohn, Kohn & Colapinto |
| Nov 12 2020 |
UK Bill Expands Scope for Foreign Investment Intervention |
K&L Gates LLP |
| Nov 12 2020 |
India: Incentivising Category-III AIFs in the IFSC |
Nishith Desai Associates |
| Nov 12 2020 |
SEC Harmonizes and Improves “Patchwork” Private Offering Framework |
Mintz |
| Nov 11 2020 |
Crowdfunding Expanded; SEC Announces Increase in Amounts Permitted To Be Raised by Crowdfunding |
Mintz |
| Nov 11 2020 |
India: Exchange of Shares as Stock-In-Trade in an Amalgamation to Be Taxable |
Nishith Desai Associates |
