| 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 |
| Nov 18 2015 |
SEC Seeks to Bring Down Ponzi Scheme Selling Life Settlements |
Faegre Drinker |
| Nov 18 2015 |
Is There A State Role For Binary Option Regulation? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Nov 18 2015 |
SEC Issues a Risk Alert on the Current State of Outside Compliance Consultants |
Sheppard, Mullin, Richter & Hampton LLP |
| Nov 17 2015 |
Columbia Law Review Study of Fee Awards in Securities Class Actions Yields Surprising Results |
Mintz |
| Nov 16 2015 |
SEC Chastised; Cybersecurity; Hacking; Supervision; Compliance Outsourcing; the Cloud - Bridging the Week: November 9 - 13 and 16, 2015 [VIDEO] |
Katten |
| Nov 16 2015 |
SEC Reduces Dodd-Frank Whistleblower Award for “Unreasonable Delay,” Announces Policy of “More Heavily” Punishing Delay After Award Program’s Implementation |
Barnes & Thornburg LLP |
| Nov 16 2015 |
Kansas Court Dismisses Dodd-Frank Whistleblower Claim for Failure to Complain of Securities Violations |
Proskauer Rose LLP |
| Nov 16 2015 |
Banking Committee Working on Reform Package; SEC to Hold Meetings, Focus on Fiduciary Rule |
Squire Patton Boggs (US) LLP |
| Nov 16 2015 |
Society Warns ISS That Overboarding Policy Change Will Hurt Women And Minority Directors |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Nov 15 2015 |
SEC Action Against Private Fund Adviser Highlights Importance of Proper Expense Apportionment |
Proskauer Rose LLP |
| Nov 13 2015 |
OCIE Issues Risk Alert on Use of Outsourced Chief Compliance Officers |
Greenberg Traurig, LLP |
| Nov 13 2015 |
It’s Official: SEC Publishes Final Rules for Investment Crowdfunding |
Varnum LLP |
| Nov 13 2015 |
Monthly Futures Exchange Issuance Report: October 2015 |
Bracewell LLP |
| Nov 12 2015 |
Illinois Federal Court Orders Plaintiffs to Pay Defendants’ $13.3 Million Appellate Costs in Lawrence E. Jaffe Pension Plan v. Household International |
Mintz |
| Nov 12 2015 |
New Regulation Crowdfunding: A Financing Lifeline for Startups and Small Businesses |
von Briesen & Roper, s.c. |
| Nov 12 2015 |
CME Group Warns Market Participants to Supervise Automated Trading Systems |
ArentFox Schiff LLP |
| Nov 12 2015 |
CalPERS To Consider Support For Corporate Political Spending Disclosure Mandate |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Nov 10 2015 |
CME Issues Market Regulatory Advisory on Position Limits and Accountability Levels |
ArentFox Schiff LLP |
| Nov 10 2015 |
Conflict Minerals Rehearing Denied — Is the Legal Challenge Over? |
Squire Patton Boggs (US) LLP |
| Nov 10 2015 |
Highlights of Final Prudential Regulator Margin Rules for Non-Cleared Swaps |
Katten |
| Nov 10 2015 |
What 19 Eminent Law Professors Would Have You Believe re: Corporations and Securities |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Nov 9 2015 |
Bridging the Week: November 2 - 6 and 9 2015 (Spoofing Conviction; Financial Crimes; CCOs; Tweets and Manipulation) |
Katten |
| Nov 9 2015 |
SEC Settles Charges Against Advisory Firms for Failing to Disclose Changes in Investment Strategy of Closed-End Fund |
Vedder Price |
| Nov 9 2015 |
SEC Pays Whistleblower Bounty Award Exceeding $325,000 |
Proskauer Rose LLP |
| Nov 9 2015 |
Prosecutors Record First-Ever Conviction for ‘Spoofing’: A New Era of Trading Enforcement |
Morgan, Lewis & Bockius LLP |
| Nov 8 2015 |
Crowded Markets - The SEC Adopts New Rules Permitting Title III Crowdfunding |
Armstrong Teasdale |
| Nov 7 2015 |
DERA Publishes Study of Unregistered Offering |
Katten |
| Nov 7 2015 |
SEC Adopts Final Crowdfunding Rules, Completing JOBS Act Rulemaking |
Katten |
| Nov 6 2015 |
SEC Proposes Amendments to Rules 147 and 504 |
Katten |
| Nov 6 2015 |
IRS Announces Inflation-Adjusted Amounts for 2016 |
Sheppard, Mullin, Richter & Hampton LLP |
| Nov 6 2015 |
SEC Grants Exemptive Relief With Respect to the Large Trader Rule |
Katten |
| Nov 6 2015 |
Director of SEC’s Enforcement Division Speaks About Market Structure Enforcement |
Katten |
| Nov 6 2015 |
SEC Crowdfunding Rule Summary |
Morgan, Lewis & Bockius LLP |
For hourly updates on the latest news about securities/SEC regulations, corporate & business law, compliance and more securities & business law news, be sure to follow our Finance and Securities Law Twitter feed and sign up for complimentary e-news bulletins.
