| Jun 26 2020 |
NFA Sets Effective Date for Rule Amendments Related to NFA’s Penalties and Disciplinary Procedures |
Katten |
| Jun 26 2020 |
CFTC Approves Two Final Rules and Two Proposed Rules at June 25 Open Meeting |
Katten |
| Jun 26 2020 |
Prudential Regulators Revise Initial Margin Rules for Uncleared Swaps |
Katten |
| Jun 26 2020 |
SEC Antitrust Memo; Chairman Speaks on Equity Market Structure; FINRA CAB Suitability |
Katten |
| Jun 26 2020 |
Volcker Rule Regulators Make Changes to Covered Fund Rules |
Katten |
| Jun 26 2020 |
UK Corporate & Financial Update: New Prudential Regime Statement, Legacy LIBOR Contracts, & Cryptoasset Business Registration |
Katten |
| Jun 26 2020 |
Accounting and Auditing Enforcement Activity Declines Slightly in 2019 |
Cornerstone Research |
| Jun 25 2020 |
The Supreme Court Affirms, but Limits, the SEC's Disgorgement Power |
Bracewell LLP |
| Jun 25 2020 |
To File Or Not To File Under Rule 260.103? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jun 25 2020 |
Supreme Court Limits SEC’s Authority to Disgorge Ill-Gotten Gains in Civil Suits |
Sheppard, Mullin, Richter & Hampton LLP |
| Jun 24 2020 |
U.S. Supreme Court Confirms SEC’s Right To Seek Disgorgement Under Securities Exchange Act |
Barnes & Thornburg LLP |
| Jun 24 2020 |
UPDATE: SEC Extends Relief for In-Person Meetings of Fund Boards Through December 31, 2020 |
Proskauer Rose LLP |
| Jun 24 2020 |
Supreme Court Recognizes, Limits SEC’s Disgorgement Power |
Foley & Lardner LLP |
| Jun 24 2020 |
Calendar Fiscal Year Companies, It Is Time To Calculate Public Float — Remember Recent SEC Amendments to Definitions of Accelerated Filer and Large Accelerated Filer |
Jones Walker LLP |
| Jun 24 2020 |
Marketplace Lending #8: Colorado Scores in Madden 2020 |
Cadwalader, Wickersham & Taft LLP |
| Jun 24 2020 |
Liu v. SEC: The Supreme Court Limits the SEC’s Disgorgement Power and Sets the Stage for Future Legal Battles |
K&L Gates LLP |
| Jun 24 2020 |
Disgorgement’s Role in SEC Enforcement Actions: An Analysis of the Supreme Court’s Decision in Liu v. SEC |
Cadwalader, Wickersham & Taft LLP |
| Jun 23 2020 |
Liu v. SEC—Supreme Court Refines SEC’s Equitable Remedy of Disgorgement |
Vedder Price |
| Jun 23 2020 |
Under Massachusetts Obsolete Mortgage Statute, Mortgage Payable “On Demand” is Enforceable for 35 Years |
Pierce Atwood LLP |
| Jun 22 2020 |
Something You May Not Think About When Choosing Another State's Law |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jun 21 2020 |
All Eyes on Liu as Supreme Court Considers Whether to Restrict Disgorgement as a Regulatory Enforcement Remedy |
Hinch Newman LLP |
| Jun 19 2020 |
FCA Statement on Amendments to MiFID II Position Limits |
Katten |
| Jun 19 2020 |
NYSE Proposes Rule Changes Regarding the Partial Re-Opening of the Trading Floor |
Katten |
| Jun 19 2020 |
CFTC Issues $6 Million Whistleblower Award |
Proskauer Rose LLP |
| Jun 19 2020 |
SEC Chairman Clayton Provides Public Statement Regulation Best Interest and Form CRS |
Katten |
| Jun 19 2020 |
Whistleblower Awarded $700,000 for Prompting SEC Investigation |
Kohn, Kohn & Colapinto |
| Jun 19 2020 |
SEC, NYSE Updates: Reg BI and Form CRS; Partial Floor Re-Opening |
Katten |
| Jun 17 2020 |
Best Interest Standard of Care for Advisors #29 |
Faegre Drinker |
| Jun 17 2020 |
Private Equity in 401(k) Plans – A Trillion Dollar Opportunity? |
K&L Gates LLP |
| Jun 17 2020 |
Does Section 415 Derogate The Exclusivity Of The Appraisal Remedy? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jun 16 2020 |
SEC Adopts Amendments to Financial Statement and Pro Forma Requirements in Connection with Acquisitions and Dispositions of Businesses |
Jones Walker LLP |
| Jun 15 2020 |
COVID-19 Privacy Implications: Workplace Temperature Screening |
Varnum LLP |
| Jun 15 2020 |
CCPA Enforcement Could Begin on July 1, 2020 - Is Your Privacy Notice Ready? |
Varnum LLP |
| Jun 15 2020 |
Peircing the Decentralized Autonomous Organization Veil |
Polsinelli PC |
| Jun 15 2020 |
Arizona Court Holds Judge Need Not Hear Case To Write Recommended Decision |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
