| Nov 2 2015 |
ISS Proposes To Go Overboard In Proposed Policy Change |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 30 2015 |
October 2015 Compilation of Enforcement and Non-Enforcement Actions |
Foley & Lardner LLP |
| Oct 30 2015 |
Institutional Shareholder Services Releases 2016 Draft Voting Policy Changes for Comment |
Katten |
| Oct 30 2015 |
SEC Issues Guidance on Rule 14a-8(i)(9) and Rule 14a-8(i)(7) |
Katten |
| Oct 30 2015 |
Nevada Supreme Court Opines On Scope Of Debtor’s Exemption For Stock |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 29 2015 |
Recent MCDC Settlements Provide Guidance Concerning Scope of Materiality in Continuing Disclosure Obligations |
Foley & Lardner LLP |
| Oct 29 2015 |
Chancellor Bouchard Rules There Can Be No Ratification Without Works for Facebook |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 28 2015 |
CFPB Wants to Eliminate “Free Pass” of Class-Action Waivers in Consumer Arbitration Agreements |
Greenberg Traurig, LLP |
| Oct 28 2015 |
NYSE Arca Withdraws Active ETF Generic Listing Standards Proposal as SEC Focus on ETFs Continues |
Morgan, Lewis & Bockius LLP |
| Oct 28 2015 |
California’s Secured Promissory Note Exemption |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 28 2015 |
ISS Proposes Changes to Guidelines in France, Canada and Brazil |
Squire Patton Boggs (US) LLP |
| Oct 27 2015 |
Ninth Circuit Rejects Adverse-Interest Exception in Fraud-on-the Market Securities Class Actions |
Proskauer Rose LLP |
| Oct 27 2015 |
Update from Coscia Trial re: Financial Regulation |
Barnes & Thornburg LLP |
| Oct 27 2015 |
Investment Management Legal and Regulatory Update - October 2015 |
Godfrey & Kahn S.C. |
| Oct 26 2015 |
SEC Enforcement Actions Up in 2015 |
Greenberg Traurig, LLP |
| Oct 26 2015 |
Bridging the Week: October 19 to 23 and 26, 2015 (Automated Trading Controls; Too Much Regulation; Spoofing; Evasion; Customer Funds Investments) |
Katten |
| Oct 26 2015 |
House To Take On Ex-Im, Fiduciary Rule; Fed, SEC To Hold Meetings |
Squire Patton Boggs (US) LLP |
| Oct 23 2015 |
Principal Deputy Assistant Attorney General Mizer Sheds Additional Light on Individual Accountability and the Yates Memo |
Mintz |
| Oct 23 2015 |
CFTC Chair Discusses the CFTC’s Response to Algorithmic Trading |
Proskauer Rose LLP |
| Oct 23 2015 |
SEC To Hold Forum on Small Business Capital Formation in November |
Katten |
| Oct 23 2015 |
New Law Attempts To Clarify Legal Status Of LLC Employee Membership Purchase And Option Plans |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 22 2015 |
SEC Chair Calls for Reexamination of Treasury Market Regulations in Light of High Speed Electronic Trading |
Proskauer Rose LLP |
| Oct 21 2015 |
States Challenge New SEC Rules on Small Public Offerings |
Greenberg Traurig, LLP |
| Oct 20 2015 |
SEC Cybersecurity Update |
Proskauer Rose LLP |
| Oct 20 2015 |
Defending The SEC’s Choice Of The Administrative Home Court |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 20 2015 |
SEC Approves New Rule Requiring BrokerCheck Link on Websites |
Greenberg Traurig, LLP |
| Oct 19 2015 |
Bridging the Week: October 12 to 16 and 19, 2015 (Pre-Arranged Trades, Wash Sales, Spoofing, CCO Liability, Non-Disclosure, IBs) |
Katten |
| Oct 19 2015 |
Two Is Not A Lot And It’s Certainly Not Extensive |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 16 2015 |
SEC Accepts DC Circuit’s Decision Vacating Retroactive Punishment |
Proskauer Rose LLP |
| Oct 16 2015 |
FERC Order: Supply AMAs Are Exempt from Prohibition on Buy-Sells |
ArentFox Schiff LLP |
| Oct 16 2015 |
Facing Legal Challenges, SEC Proposes To Reform Administrative Proceedings |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 15 2015 |
SEC Settles First Charges Brought Under Distribution-in-Guise Initiative |
Vedder Price |
| Oct 15 2015 |
FINRA Releases Revised 4210 Margin Rule Proposal |
Morgan, Lewis & Bockius LLP |
| Oct 15 2015 |
OCIE Identifies Focus Areas for Second Round of Cybersecurity Sweep Exams |
Vedder Price |
| Oct 15 2015 |
Standing of Petrobras Opt-Out Plaintiffs Challenged |
Mintz |
| Oct 15 2015 |
SEC Issues Final Rule for Removal of Certain References to Credit Ratings and Amends the Issuer Diversification Requirement in the Money Market Fund Rule |
Vedder Price |
| Oct 15 2015 |
SEC Proposes New Liquidity Risk Management Rules for Mutual Funds and ETFs |
Vedder Price |
| Oct 13 2015 |
SEC Charges Investment Adviser for Failure to Disclose Acceleration of Monitoring Fees and Discounts on Legal Fees |
Sheppard, Mullin, Richter & Hampton LLP |
| Oct 12 2015 |
Bridging the Week: October 5 to 9 and 12, 2015 (Spoofing; Politics; Non-Public Information Sharing; Inadequate Disclosures) |
Katten |
| Oct 12 2015 |
California Governor Signs Finders Exemption Bill |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 9 2015 |
Delaware Supreme Court rules that friendship and business relationships together are enough to challenge director’s independence |
Dinsmore & Shohl LLP |
| Oct 9 2015 |
House Passes Disclosure Modification and “4(a)(1)(1/2)” Bills |
Katten |
| Oct 9 2015 |
SEC Approves FINRA Equity and Debt Research Rules |
Katten |
| Oct 9 2015 |
SEC and Hitachi Reach FCPA Settlement Over Corrupt Payments in South Africa |
Bracewell LLP |
| Oct 9 2015 |
Why Not Let The Market Decide The Frequency Of Earnings Reports |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 8 2015 |
Proactive Approach To Cybersecurity: White Paper |
Morgan, Lewis & Bockius LLP |
| Oct 8 2015 |
CFTC Issues Second Whistleblower Award To The Tune Of $290,000 |
Proskauer Rose LLP |
| Oct 8 2015 |
SEC Brings First Cybersecurity Enforcement Proceeding in Wake of Risk Alert |
Foley & Lardner LLP |
| Oct 8 2015 |
Criminal Waste Of Space Foments Securities Law Problem |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 8 2015 |
Regulation S-P Violation: Are You Prepared For A Cyber-Security Breach? |
Barnes & Thornburg LLP |
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