Jun 29 2015 |
Do Investment Advisers Automatically Have Fiduciary Duties to Their Clients? |
Brooks, Pierce, McLendon, Humphrey & Leonard, LLP |
Jun 29 2015 |
New LLC Is Not Delivered By Sale Membership Interests |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Jun 29 2015 |
Changes in Margin Trading and Short Selling Regulations and the Potential Impact on Client Investment’s Through QFII A-Shares |
Sheppard, Mullin, Richter & Hampton LLP |
Jun 28 2015 |
CFTC’s Division of Market Oversight to Hold Public Roundtable Regarding Made Available To Trade Determinations |
Katten |
Jun 26 2015 |
SEC Announces Open Meeting on Proposed Clawback Requirements under Dodd-Frank Act |
Proskauer Rose LLP |
Jun 26 2015 |
Delaware Amends Its Corporate Law to Prohibit Fee-Shifting, Approve Exclusive Forum Provisions and Facilitate At-The-Market Offerings |
Katten |
Jun 26 2015 |
SEC Division of Corporation Finance Issues New Compliance and Disclosures Relating to New “Regulation A+” |
Katten |
Jun 26 2015 |
FIA Market Technology Division Releases Recommendations to Prepare for Leap Second Event |
Katten |
Jun 26 2015 |
CFTC’s Division of Market Oversight Issues Updated Guidebook for Part 20 Reports |
Katten |
Jun 26 2015 |
Massachusetts Federal Jury Convicts Amateur Golfer for Insider Trading |
Katten |
Jun 26 2015 |
Final Rules Concerning the Restrictions Imposed On the Retail Distribution of CoCos and Other Regulatory Capital Instruments |
Katten |
Jun 26 2015 |
Securities and Exchange Commission Advisory Committee Issues Recommendation |
Squire Patton Boggs (US) LLP |
Jun 26 2015 |
Making the Most Out of Your Board Meeting |
Foley & Lardner LLP |
Jun 26 2015 |
Court Of Appeal Holds “May” Does Not Mean “May Only” |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Jun 25 2015 |
The SEC’s Proposed Reporting and Disclosure Changes: What Investment Companies and Advisers Should Know |
Faegre Drinker |
Jun 25 2015 |
FIN4 May Have Embarked on a Risky Hacking/Insider Trading Strategy |
Brooks, Pierce, McLendon, Humphrey & Leonard, LLP |
Jun 25 2015 |
SEC Proposes Amendments to Form ADV and Investment Advisers Act Rules |
Faegre Drinker |
Jun 25 2015 |
California Corporations Code: Another Dubious Assertion Concerning Section 2115 |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Jun 25 2015 |
Tips and Traps When Talking to Potential Investors |
Foley & Lardner LLP |
Jun 24 2015 |
SEC Charges Two Businesses for Acting as Unlicensed Broker-Dealers in EB-5 sales |
Greenberg Traurig, LLP |
Jun 24 2015 |
Consequences of Waiving Attorney-Client Privilege |
Mintz |
Jun 23 2015 |
IRS Revamps Proposed Issue Price Definition for Municipal Bonds |
Mintz |
Jun 23 2015 |
Ninth Circuit Court Of Appeals Holds No ERISA Preemption Of Section 419(b) |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Jun 22 2015 |
“Does Anybody Really Know What Time It Is?” |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Jun 22 2015 |
Data Security Breach Documents Sought in Home Depot Books-and-Records Suit |
Mintz |
Jun 21 2015 |
SEC Sanctions Independent Trustees for Approving Mutual Fund Advisory Contract without Sufficient Information |
Proskauer Rose LLP |
Jun 19 2015 |
SEC Denies Motion to Stay Regulation A+ |
Katten |
Jun 19 2015 |
The MCDC Orders: Everything is Material re: Municipalities Continuing Disclosure Cooperation |
Barnes & Thornburg LLP |
Jun 19 2015 |
California Brokers Plead Guilty to Insider Trading of Ardea Biosciences, Inc. Stock |
Katten |
Jun 19 2015 |
SEC Requests Public Comment on ETPs |
Katten |
Jun 19 2015 |
Is Buying Stock The Same As Providing Capital? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Jun 19 2015 |
SEC Opens New Funding Options with Regulation A+ |
Faegre Drinker |
Jun 19 2015 |
Theme of Corporate Governance in Alternative Investment Funds Continues to be Debated |
Katten |
Jun 19 2015 |
Regulation A+ Goes Effective Today, June 19, 2015 |
Mintz |
Jun 19 2015 |
UK Regulators Address Manipulation of Trading Benchmarks and Other Misconduct |
Proskauer Rose LLP |
Jun 18 2015 |
Williamson v. Citrix Online Highlights Potential Unintended Consequences of Functional Limitations in Patent Claims |
Katten |
Jun 18 2015 |
The US Government’s Charge Against “Spoofing” re: Large Volume Securities Trades |
Morgan, Lewis & Bockius LLP |
Jun 17 2015 |
California’s Bizarre Voting Records Disclosure Requirement |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Jun 17 2015 |
Massachusetts Supreme Judicial Court Takes Expansive View of Investment Advisor’s Liability Under Blue Sky Law in Hays v. Ellrich |
Mintz |
Jun 16 2015 |
Wolf Pack Activism: A Quick Look at Hedge Fund Activism |
Analysis Group, Inc. |
Jun 15 2015 |
Is The SEC Confused About Who Solicits Proxies? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Jun 12 2015 |
Crowdfunding, Public Company Disclosure and more: Meeting of the SEC Advisory Committee on Small and Emerging Companies |
Katten |
Jun 12 2015 |
Six Federal Regulators Issue Final Interagency Policy Statement on Diversity Policies and Practices of Regulated Entities |
Katten |
Jun 12 2015 |
Failure To Disclose Finder’s Fee Found Not To Be Actionable |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Jun 12 2015 |
SEC Proposes Rules to Modernize and Enhance Investment Company and Investment Adviser Reporting |
Vedder Price |
Jun 11 2015 |
SEC Announces Fraud Charges Against Investment Adviser Accused of Concealing Poor Performance of Fund Assets from Investors |
Vedder Price |
Jun 11 2015 |
SEC Settles Conflict-of-Interest Case Against BlackRock and Former Chief Compliance Officer Concerning Portfolio Manager’s Outside Business Activities |
Vedder Price |
Jun 11 2015 |
SEC Settles Charges Against Nationwide Life Insurance Company for Failing to Process Purchase and Redemption Orders in Compliance with the 1940 Act |
Vedder Price |
Jun 11 2015 |
Georgia Federal Court Rules That SEC Administrative Proceeding Is “Likely Unconstitutional” |
Mintz |
Jun 11 2015 |
Nevada To Allow Corporations To Stiff Charon - Revoked Charters |
Allen Matkins Leck Gamble Mallory & Natsis LLP |