| Dec 9 2015 |
FAST Act - Capital Markets Provisions |
Bracewell LLP |
| Dec 9 2015 |
SEC Nabs Immigration Lawyers Acting as Unregistered Brokers, Orders Fines and Disgorgement |
Mintz |
| Dec 9 2015 |
Congress’ Strange New Secondary Trading Exemption |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Dec 8 2015 |
Regulation Crowdfunding: Long Wait Is Over, But Is Equity Crowdfunding D.O.A.? |
Mintz |
| Dec 8 2015 |
Questions and Answers Concerning Final Prudential Regulator Margin Rules for Non-Cleared Swaps |
Katten |
| Dec 8 2015 |
Strawberries and Raspberries – Truly Strange Bedfellows re: Fixing America’s Surface Transportation Act |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Dec 7 2015 |
Insider Trading in Futures; Newer, Tougher AML Requirements; New CCO Obligations; Possible Bitcoin Fraud - Bridging the Weeks: November 23 – December 7, 2015 [VIDEO] |
Katten |
| Dec 7 2015 |
FINRA Accelerates Public Reporting of Certain Disclosure Information |
Greenberg Traurig, LLP |
| Dec 7 2015 |
Financial Stability Oversight Council, Fiduciary Rule in Focus for Financial Services Lawmakers; SEC to Hold Open Meeting |
Squire Patton Boggs (US) LLP |
| Dec 4 2015 |
SEC Policy Change: Voluntary Disclosure Now Required for DPA/NPA Resolutions in FCPA Cases |
Morgan, Lewis & Bockius LLP |
| Dec 4 2015 |
ISS Updates Proxy Voting Policies for 2016 Proxy Season |
Hunton Andrews Kurth |
| Dec 4 2015 |
SEC Approves Changes To Reduce Waiting Period for Release of Information Reported on Form U5 Through BrokerCheck |
Katten |
| Dec 2 2015 |
SEC Adopts Rules to Allow Crowdfunding Beginning May 16, 2016 |
Hunton Andrews Kurth |
| Dec 2 2015 |
Australian Full Federal Court Recognises Market-Based Causation |
Squire Patton Boggs (US) LLP |
| Dec 2 2015 |
NYSE Arca Proposes to Flag ETP Trades that Deviate Significantly from Prevailing Market Prices |
Morgan, Lewis & Bockius LLP |
| Dec 2 2015 |
Misleading Case For Majority Vote Standard |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Dec 1 2015 |
Borrowers in EB-5 Deals Not Insulated from Securities Litigation by the SEC |
Mintz |
| Dec 1 2015 |
SEC Staff Updates Proxy “Unbundling” Guidance for M&A Transactions |
Hunton Andrews Kurth |
| Dec 1 2015 |
FINRA Examination Review Provides Guidance to Identify, Mitigate and Manage Compensation Conflicts |
Vedder Price |
| Dec 1 2015 |
Delaware Supreme Court Clarifies When Friendship Could Compromise Director’s Independence |
Vedder Price |
| Dec 1 2015 |
SEC Seeks to 'Modernize' Its Internal Courts through Proposed Rule Amendments |
Vedder Price |
| Dec 1 2015 |
SEC Staff’s Position On Unbundling Gets Even More Weird |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Nov 30 2015 |
November 2015 Compilation of SEC Enforcement and Non-Enforcement Actions |
Foley & Lardner LLP |
| Nov 30 2015 |
Limiting Securities Litigation Risks in EB-5 Offerings: What Regional Centers and Issuers Need to Know |
Mintz |
| Nov 30 2015 |
D.C. Circuit Denies Petition for Rehearing Conflict Minerals Rule Case |
Hunton Andrews Kurth |
| Nov 30 2015 |
Between Bridges: November 30, 2015 - CFTC’s Proposed New Algorithmic Trading Rules Augur Potential Increased Obligations and Costs, and a New Registration Requirement [VIDEO] |
Katten |
| Nov 30 2015 |
SEC Fines Should Prompt Firms Engaged in Political Intelligence To Revisit Insider Trading Policies |
Covington & Burling LLP |
| Nov 30 2015 |
New CFTC Proposed Rules on Algorithmic Trading |
Bracewell LLP |
| Nov 30 2015 |
Maryland District Court Rejects Materiality Requirement for Sarbanes-Oxley Whistleblower Actions |
Zuckerman Law |
| Nov 30 2015 |
Most Important Principles of Delaware Corporate Law Can’t Be Found In the DGCL |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Nov 24 2015 |
SEC Once Again Sanctions The CCO of An Investment Advisory Firm |
Proskauer Rose LLP |
| Nov 24 2015 |
Corruption and the Closing Table: How Much Diligence is Due? |
Polsinelli PC |
| Nov 24 2015 |
Amendments to German Voting Rights Notification Rules |
Morgan, Lewis & Bockius LLP |
| Nov 24 2015 |
Victim of Fraud Sued for Fraud |
Katten |
| Nov 24 2015 |
To Whom Does “Related Parties” Refer In Auditing Standard No. 18? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Nov 24 2015 |
Ninth Circuit Severely Limits “Rogue Employee” Exception for Corporations in Securities Fraud Cases |
Sheppard, Mullin, Richter & Hampton LLP |
| Nov 24 2015 |
Forward to The Past: NYSE Returns to Regulation |
Sheppard, Mullin, Richter & Hampton LLP |
| Nov 23 2015 |
Bridging the Week: November 16 - 20 and 23, 2015 (Personal Accountability; Dark Pools; Proprietary Trader Registration; CCO Liability Redux; WORM) [VIDEO] |
Katten |
| Nov 23 2015 |
ISS Ignores Contrary Studies In Adopting Overboarding Policy Change |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Nov 23 2015 |
Addressing Climate Change in SEC Filings and Other Public Disclosures: What These Disclosures Mean for Businesses |
Foley & Lardner LLP |
| Nov 21 2015 |
SEC Freezes Assets of EB-5 Asset Manager LLC and Alleged Fraudster Lin Zhong |
Mintz |
| Nov 20 2015 |
SEC Commissioner Piwowar Speaks at Current Financial Reporting Issues Conference |
Katten |
| Nov 20 2015 |
Enjoining The Correct Spelling re: SEC Administrative Proceeding |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Nov 20 2015 |
ESMA Publishes MiFID II Delay Analysis |
Katten |
| Nov 20 2015 |
ESMA Issues Public Statement on Collateralization of Bank Guarantees for Energy Derivatives |
Katten |
| Nov 20 2015 |
SEC Fines Advisers for Allocating Compliance Expenses to Funds |
Sheppard, Mullin, Richter & Hampton LLP |
| Nov 19 2015 |
SEC Exam Staff Shares Observations on Outsourced Chief Compliance Officers |
Morgan, Lewis & Bockius LLP |
| Nov 19 2015 |
SEC Proposes Rules To Enhance Transparency And Oversight Of Alternative Trading Systems |
Proskauer Rose LLP |
| Nov 19 2015 |
Highlights of SEC’s 2015 Annual Whistleblower Report |
Proskauer Rose LLP |
| Nov 19 2015 |
Wisconsin Federal Court Enjoins SEC Administrative Proceeding |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
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