| 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 |
| Nov 11 2020 |
SEC Amends Rules to Facilitate Capital Raising in Private Offerings |
Proskauer Rose LLP |
| Nov 11 2020 |
SEC Settles Enforcement Proceeding Without Imposing a Penalty Against Adviser That Self-Reported Alleged Expense Waiver Misrepresentations |
Vedder Price |
| Nov 10 2020 |
SEC Proposes Conditional Exemption for Finders Engaging in Limited Capital Raising Activities |
Vedder Price |
| Nov 10 2020 |
SEC Staff Issues FAQs on Form CRS Disciplinary History Information Accompanied by a Joint Statement from Chairman Clayton and Division Directors |
Vedder Price |
| Nov 10 2020 |
SEC Adopts New Framework for Fund of Funds Arrangements |
Vedder Price |
| Nov 10 2020 |
Disclosure Standards for Alternative Investment Funds (AIF) – Recent Updates |
Nishith Desai Associates |
| Nov 10 2020 |
SEC Adopts Amendments to Shareholder Proposal Rule |
Vedder Price |
| Nov 10 2020 |
Small to Mid-Size Businesses: New SEC Changes Simplify and Increase Access to Capital and Investment |
ArentFox Schiff LLP |
| Nov 9 2020 |
SEC Roundtable on Reg BI and Form CRS |
Faegre Drinker |
| Nov 6 2020 |
SEC Disclosure Requirement Amendments to Regulation S-K: Description of Business, Legal Proceedings, and Risk Factors |
Dinsmore & Shohl LLP |
| Nov 6 2020 |
SEC Approves Amendments to Harmonize and Simplify Offering Exemptions |
Katten |
| Nov 6 2020 |
India-focused Investment Funds: March, 2020 Onward |
Nishith Desai Associates |
| Nov 6 2020 |
Dodd-Frank SEC Whistleblower Protection Post-Digital Realty |
Zuckerman Law |
| Nov 5 2020 |
The European Stock Markets: Still at Sixes and Sevens |
Norris McLaughlin P.A. |
| Nov 5 2020 |
Revenge of the Rat Pack; SEC Proposes Finders Exemption |
Polsinelli PC |
| Nov 5 2020 |
Alternative Investment Funds (AIF) And Arbitrability Of AIF Disputes |
Nishith Desai Associates |
| Nov 5 2020 |
John McAfee Meet Agent Smith |
Polsinelli PC |
| Nov 5 2020 |
SEC Announces Two Whistleblower Awards of $3.6 Million and $750,000 |
Kohn, Kohn & Colapinto |
| Nov 5 2020 |
SEBI’s Informal Guidance: Interpretation of Angel Fund Regulations |
Nishith Desai Associates |
| Nov 5 2020 |
SEC Publishes New Whistleblower Rules; Deadlines Impact Thousands of Cases |
Kohn, Kohn & Colapinto |
| Nov 4 2020 |
SEC Adopts Final Derivatives Rule and Related Amendments |
Faegre Drinker |
| Nov 4 2020 |
Currency Exchange Risks and AIFS: A Primer |
Nishith Desai Associates |
