Sep 24 2015 |
NYSE Expands Material News Notification Policy and Trading Halt Authority Effective September 28, 2015 |
Hunton Andrews Kurth |
Sep 24 2015 |
Where In The World Is An Issuer’s Home Country? re: Securities |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Sep 24 2015 |
California District Court Follows Asadi, Dismisses Dodd-Frank Whistleblower Claim |
Proskauer Rose LLP |
Sep 23 2015 |
Assistant Attorney General Caldwell Clarifies Application of Yates Memo on Individual Accountability |
Mintz |
Sep 23 2015 |
Capturing The SEC - Mandatory Internal Audit Functions for All Publicly Traded Companies |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Sep 23 2015 |
SEC Says No More Mr. Nice Guy on Investment Adviser Cybersecurity |
Brooks, Pierce, McLendon, Humphrey & Leonard, LLP |
Sep 22 2015 |
Recommended Steps to Successful Equity Plan Approval – (Part 1: Steps 1-8) |
Morgan, Lewis & Bockius LLP |
Sep 22 2015 |
SEC Charges Adviser and Distributor in Connection with Distribution Fee Sweep |
Faegre Drinker |
Sep 22 2015 |
California Judge Sides With Congress and Fifth Circuit In Whistleblower Split |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Sep 21 2015 |
Bridging the Week: September 14 to 18 and 21, 2015 (Virtual Currencies; Large Trader Reports; Leverage Ratio; Penson; Double Jeopardy; LME Position Limits) |
Katten |
Sep 21 2015 |
Nothing to See in This Story about the Electronic Communications Privacy Act |
Brooks, Pierce, McLendon, Humphrey & Leonard, LLP |
Sep 19 2015 |
ESMA Raises Market Risk Indicator for European Securities to Highest Level |
Katten |
Sep 18 2015 |
SEC Extends Specified Temporary Relief Related to Security-Based Swaps |
Katten |
Sep 18 2015 |
CFTC Announces Proposal to Amend the Definition of “Material Terms” for Purposes of Swap Portfolio Reconciliation |
Katten |
Sep 17 2015 |
Asset-Level Data for Legacy Deals, and Risk Retention for Resecuritizations |
Morgan, Lewis & Bockius LLP |
Sep 17 2015 |
Seventh Circuit Affirms District Court on Remand in Jones v. Harris Associates |
Vedder Price |
Sep 17 2015 |
SEC Grants Petition for Review of Dismissal of Charges Against Investment Advisory Firm |
Vedder Price |
Sep 17 2015 |
A Most Nescient Comment? re: Recovery of Erroneously Paid Incentive Compensation |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Sep 17 2015 |
SEC Commissioners Address Recent Commission Orders Against CCOs |
Vedder Price |
Sep 17 2015 |
Government Accountability Office Report on EB-5 a Possible Blueprint for Lawmakers and New Legislation |
Mintz |
Sep 16 2015 |
SEC to Conduct Second Round of Cybersecurity Examinations |
Proskauer Rose LLP |
Sep 16 2015 |
U.S. Courts Continue to Deny Attempts to Bring Foreign Law Actions in U.S. Courts to Recover for Potential Losses in Foreign Transactions |
Mintz |
Sep 15 2015 |
SEC and DOJ Hacking Prosecutions Highlight SEC’s Increased Interest in Cybersecurity Risks |
Morgan, Lewis & Bockius LLP |
Sep 15 2015 |
The Fundamental Distinction Overlooked By The SEC |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Sep 14 2015 |
What Questions Executives Should Be Asking About Their D&O Insurance Following The New DOJ Policies Issued Last Week |
Mintz |
Sep 14 2015 |
Bridging the Weeks: August 31 to September 11 and September 14, 2015 (Spoofing, Individual Accountability, Cybersecurity, Audit Opinions, Hedging and Reporting) |
Katten |
Sep 14 2015 |
SEC Financial Reporting and Auditing Enforcement Review |
Holland & Hart LLP |
Sep 14 2015 |
Did The SEC Misapprehend The Meaning of “Will”? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Sep 13 2015 |
SEC Proposes Security-based Swap Data Repositories Make Data Available to Regulators |
Katten |
Sep 12 2015 |
US District Court Orders SEC To Revise Resource Extraction Issuer Rule |
Katten |
Sep 11 2015 |
SEC Charges Four Individuals and Nutrition Company for Failure To Disclose Executive Perks |
Katten |
Sep 11 2015 |
Monthly Futures Exchange Issuance Report: August 2015 |
Bracewell LLP |
Sep 11 2015 |
Filing Notices of Exemption Online In California |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Sep 10 2015 |
Second Circuit: Dodd-Frank Protects Internal Whistleblowers |
Proskauer Rose LLP |
Sep 10 2015 |
Beware of Use of Derivatives in Purchase and Sale of Private Shares |
Mintz |
Sep 10 2015 |
Delaware Courts Scrutinize Recent Proposed Settlement Agreements – A Harbinger of Fewer M&A “Transaction Tax” Lawsuits? |
Hunton Andrews Kurth |
Sep 10 2015 |
Sports Direct: Shareholders Shout Louder! re: Executive Remuneration |
Squire Patton Boggs (US) LLP |
Sep 10 2015 |
Update on Proposed Listing Standards for Active ETFs |
Morgan, Lewis & Bockius LLP |
Sep 9 2015 |
Failure To Follow Up Demand Dooms Derivative Suit |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Sep 9 2015 |
Will Asset-Level Data Have to Be Reported for Legacy Deals? |
Morgan, Lewis & Bockius LLP |
Sep 8 2015 |
SEC Rejects Constitutional Challenge to Administrative Proceeding |
Proskauer Rose LLP |
Sep 8 2015 |
Executive Assistant Embezzles $1 Million from Hewlett Packard; as yet, SEC Doesn’t Care |
Brooks, Pierce, McLendon, Humphrey & Leonard, LLP |
Sep 6 2015 |
Third Circuit Finds that the FTC Has Authority to Sue Companies for Inadequate Cybersecurity Practices as an "Unfair" Practice |
Holland & Hart LLP |
Sep 4 2015 |
European Securities and Markets Authority (ESMA) Consults on Remaining MiFID II Draft ITS |
Katten |
Sep 3 2015 |
Resource Extraction Payment Rule — Not Everyone Wants To Let Sleeping Dogs Lie |
Squire Patton Boggs (US) LLP |
Sep 3 2015 |
Big Loss For Plaintiffs In High Frequency Trading Cases |
Proskauer Rose LLP |
Sep 3 2015 |
D.C. Circuit Court Rules That The SEC Unlawfully Withheld Action Mandated By Congress |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Sep 3 2015 |
ESMA Publishes Advice on Extending the Marketing Passport Beyond Europe |
Morgan, Lewis & Bockius LLP |
Sep 2 2015 |
Officers And The Internal Affairs Doctrine |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Sep 1 2015 |
Just How Scary is the SEC? “Fear” Not Sufficient Grounds to Duck Administrative Subpoena |
Mintz |