| Mar 7 2020 |
Coronavirus and Considerations for Publicly Traded Companies |
Sheppard, Mullin, Richter & Hampton LLP |
| Mar 6 2020 |
SEC’s Conditional Regulatory Relief for Companies Affected by the Coronavirus (COVID-19) |
Robinson & Cole LLP |
| Mar 6 2020 |
SEC Proposes Rule Changes to Harmonize and Simplify Offering Exemptions |
Katten |
| Mar 6 2020 |
SEC Proposes Rule Changes that Will Enable Entrepreneurs to Raise More Capital at Lower Costs |
Mitchell Silberberg & Knupp LLP |
| Mar 6 2020 |
SEC Amends Disclosure Rules for Registered Debt Offerings |
Katten |
| Mar 5 2020 |
SEC Provides Conditional Relief from Filing Deadlines and Mailing Obligations as a Result of Coronavirus (COVID-19) |
Mintz |
| Mar 4 2020 |
In Enforcement Action, SEC Underscores Heightened Scrutiny of KPIs in MD&A Reporting |
Faegre Drinker |
| Mar 4 2020 |
BitBlog Bi-Weekly Update |
Polsinelli PC |
| Mar 4 2020 |
A Taxonomy Of Issuer And Nonissuer Transacations |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Mar 3 2020 |
Under Siege from the SEC, Steven Seagal Ponies Up to Settle Charges for Promoting an Initial Coin Offering |
Faegre Drinker |
| Mar 3 2020 |
Massachusetts Securities Division Rolls Out Final Version of Fiduciary Duty Rule |
Mintz |
| Mar 3 2020 |
CMBS Repurchase Remedy 2.0 |
Binder & Schwartz |
| Mar 3 2020 |
Buyers (And Sellers) Beware!: SEC Observations on Cybersecurity and Resiliency |
Sheppard, Mullin, Richter & Hampton LLP |
| Mar 2 2020 |
Bridging the Weeks by Gary DeWaal: February 17 to 28, and March 2, 2020 (Sanctioned Again; Spoofing; Denied Again; Bitcoin ETF) |
Katten |
| Mar 1 2020 |
OCIE Announces 2020 Examination Priorities |
Vedder Price |
| Feb 29 2020 |
SEC Issues Notice of Intention to Grant Exemption from Board’s In-Person Meeting Requirement to Approve Sub-Advisory Agreements |
Vedder Price |
| Feb 28 2020 |
Commissioner Peirce Dissents from SEC’s Rejection of Bitcoin-Based ETF |
Katten |
| Feb 28 2020 |
SEC Whistleblower Receives $7 Million Reward for Assisting in Investigation |
Kohn, Kohn & Colapinto |
| Feb 28 2020 |
Securities Class Action Settlement Median Value Remains Historically High in 2019 |
Cornerstone Research |
| Feb 28 2020 |
SEC and FINRA Signal Renewed Focus on Vendor Management in Two Key Areas: Cybersecurity and Market Access Rule Compliance |
Sheppard, Mullin, Richter & Hampton LLP |
| Feb 27 2020 |
Under Siege - Zen Master Steven Seagal Loses to the SEC |
Polsinelli PC |
| Feb 27 2020 |
Steven Seagal is not “Above the Law” in Crypto Scalping Case |
Winstead |
| Feb 27 2020 |
U.S. Supreme Court Denies Bid to Review Dismissal of Challenge to Pay-To-Play Rule |
Proskauer Rose LLP |
| Feb 27 2020 |
LLC Interests - Securities Or Not? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Feb 26 2020 |
SEC Guidance on Key Performance Indicators and Metrics in MD&A and Three New MD&A C&DIs |
Mintz |
| Feb 26 2020 |
Proposed SEC Amendments Expand Pool of Accredited Investors |
Varnum LLP |
| Feb 26 2020 |
Closing the 8-K Insider Trading Gap |
Mintz |
| Feb 25 2020 |
Best Interest Standard of Care for Advisors #26 |
Faegre Drinker |
| Feb 25 2020 |
Best Interest Standard of Care for Advisors #25 |
Faegre Drinker |
| Feb 25 2020 |
Could New Legislation on Insider Trading be on its Way? |
Faegre Drinker |
| Feb 24 2020 |
ESMA Has Its Say on Sustainable Finance |
Greenberg Traurig, LLP |
| Feb 24 2020 |
Upcoming/New CFIUS Filing: ZF Friedrichshafen AG and WABCO |
Squire Patton Boggs (US) LLP |
| Feb 21 2020 |
ESMA Consults on Third-Country Reporting Under MiFID II and MiFIR |
Katten |
| Feb 21 2020 |
Risky Business: How Departing Brokers Can Unintentionally Trip Reg. BI |
Winstead |
| Feb 21 2020 |
FINRA Requests Comment on Enhancements to the Continuing Education Program for Securities Industry Professionals |
Katten |
