| Oct 31 2019 |
Regulatory Moves Show Financial Watchdogs Working Smarter, if Not Harder |
Sheppard, Mullin, Richter & Hampton LLP |
| Oct 31 2019 |
Spoofing Enforcement Intensifies |
Sheppard, Mullin, Richter & Hampton LLP |
| Oct 30 2019 |
SEC Provides Guidance on Ordinary Business Exclusion for Shareholder Proposals and on Proof of Ownership Letters |
Jones Walker LLP |
| Oct 30 2019 |
SEC Division of Investment Management Releases FAQs Regarding Disclosure of Financial Conflicts Related to Investment Adviser Compensation |
Faegre Drinker |
| Oct 30 2019 |
Best Interest Standard of Care for Advisors #15 |
Faegre Drinker |
| Oct 30 2019 |
Time Is Of The Essence Clause Does Not Necessarily Result In Breach For Late Performance |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 29 2019 |
SEC Settles Charges Against Two Advisers Relating to Variable Insurance Portfolios |
Vedder Price |
| Oct 29 2019 |
SEC Adopts New "Test the Waters" Rule |
Vedder Price |
| Oct 29 2019 |
A Review of Recent Whistleblower Developments: October 29, 2019 |
Foley & Lardner LLP |
| Oct 29 2019 |
FinTech and Regulation: BitBlog Weekly Update October 29, 2019 |
Polsinelli PC |
| Oct 29 2019 |
U.S. Senate Introduces Bill to Extend Dodd-Frank Whistleblower Protections |
Proskauer Rose LLP |
| Oct 29 2019 |
SEC Settles Additional Share Class Selection Actions |
Vedder Price |
| Oct 28 2019 |
SEC Settles with Adviser for Overcharging Clients |
Vedder Price |
| Oct 28 2019 |
SEC Staff Issues Guidance on Performance and Fee Disclosure |
Vedder Price |
| Oct 25 2019 |
Beltway Buzz, October 25, 2019 |
Ogletree, Deakins, Nash, Smoak & Stewart, P.C. |
| Oct 25 2019 |
CFTC, Among Other US Financial Regulatory Agencies, Joins the Global Financial Innovation Network |
Katten |
| Oct 25 2019 |
Best Interest Standard of Care for Advisors #14 |
Faegre Drinker |
| Oct 24 2019 |
Does Section 25400(d) Require Reliance? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 23 2019 |
SEC Expands “Testing-the-Waters” Accommodation to All Issuers, Regardless of EGC Status |
Jones Walker LLP |
| Oct 23 2019 |
Section 9(a)(4) Versus Section 25400(d) |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 22 2019 |
Moving on from LIBOR |
Squire Patton Boggs (US) LLP |
| Oct 22 2019 |
CLA Corporations Committee Comments On Proposed Regulation S-K Changes |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 21 2019 |
European Commission Adopts Disclosure Templates for EU Securitisation Reporting |
Cadwalader, Wickersham & Taft LLP |
| Oct 18 2019 |
SEC Announces the Formation of Asset Management Advisory Committee |
Katten |
| Oct 18 2019 |
SEC Issues Legal Bulletin Regarding Shareholder Proposals Exclusion |
Katten |
| Oct 18 2019 |
Is A Pre-Issuance Form D Filing Requirement In The Offing? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 18 2019 |
Waiver of Appraisal Rights in a Stockholder Agreement is Enforceable Under Delaware Law |
K&L Gates LLP |
| Oct 17 2019 |
SEC Adopts Exchange-Traded Fund Rule |
Faegre Drinker |
| Oct 16 2019 |
Third Circuit Reversal a Pyrrhic Win for SEC in Ongoing Statute of Limitations Saga |
Sheppard, Mullin, Richter & Hampton LLP |
| Oct 16 2019 |
Best Interest Standard of Care for Advisors #13 |
Faegre Drinker |
| Oct 15 2019 |
The SEC’s SCSD Initiative Second Wave and the Applicability of the President’s Recent Executive Order |
Faegre Drinker |
| Oct 14 2019 |
Test The Waters, But Don’t Make Waves |
Mitchell Silberberg & Knupp LLP |
| Oct 14 2019 |
US District Courts Start Applying Kisor v. Wilkie; Is Auer Deference Now a “Paper Tiger”? |
Squire Patton Boggs (US) LLP |
| Oct 11 2019 |
SEC Proposes to Require Proposed NMS Plan Fee Amendments to Follow Public Notice, Comment and Approval Procedure |
Katten |
| Oct 10 2019 |
Five Tips to Mitigate Risk in Cryptocurrency Mergers and Acquisitions |
Polsinelli PC |
