| 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 |
| Jun 11 2015 |
Pleading Standard Saves SEC’s Insider-Trading Case |
Proskauer Rose LLP |
| Jun 10 2015 |
“Dead Hand Proxy Puts” Garner Increased Stockholder Scrutiny In Delaware |
Sheppard, Mullin, Richter & Hampton LLP |
| Jun 10 2015 |
Recommended Actions for Hedge Fund, Private Equity Fund and Other Private Fund Advisers To Prevent Possible Whistleblower Violations |
Proskauer Rose LLP |
| Jun 10 2015 |
June 30 Deadline Looms For Foreign Lending Institutions |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jun 9 2015 |
Should Directors Be Required To Have Valid Passports? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jun 8 2015 |
Democrats Push New Regulatory Relief Measure, CFTC and EU Regulators Work to Agree on Clearinghouse Rules |
Squire Patton Boggs (US) LLP |
| Jun 7 2015 |
Sixth Circuit Rules That A Reasonable Belief About Unlawful Conduct Is Enough To State A Sarbanes-Oxley Retaliation Claim |
Epstein Becker & Green, P.C. |
| Jun 5 2015 |
SEC Staff Releases Analysis Related to Pay Ratio Disclosure Rules |
Katten |
| Jun 5 2015 |
National Futures Association (NFA) Proposes Amendments to Its Articles of Incorporation |
Katten |
| Jun 5 2015 |
SEC Proposes Rules to Modernize and Enhance Information Reported by Investment Companies and Investment Advisers |
Katten |
| Jun 5 2015 |
States Challenge Blue Sky Preemption Under Regulation A+ |
Katten |
| Jun 5 2015 |
FINRA Proposes Revised BrokerCheck Hyperlink Rule |
Katten |
| Jun 5 2015 |
Senator Elizabeth Warren Criticizes SEC Chair Mary Jo White for “Extremely Disappointing” Leadership |
Katten |
| Jun 4 2015 |
Senator Warren’s Letter to the SEC Chair Calls for More Aggressive Enforcement |
Proskauer Rose LLP |
| Jun 4 2015 |
Why The WSJ Is Wrong About SEC Rulemaking On Claw backs |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jun 3 2015 |
Monthly Futures Exchange Issuance Report: May 2015 - Market Regulation Advisory Notices |
Bracewell LLP |
| Jun 3 2015 |
How New SEC Focus Will Affect South Florida Real Estate Private Equity |
Bilzin Sumberg |
| Jun 1 2015 |
UCITS, CCP Risks, Forex Manipulation; Pre-trade Communications, NFA Forex Dealer Members Capital - Bridging the Weeks May 18 - June 1, 2015 [VIDEO] |
Katten |
| Jun 1 2015 |
Commercial Mortgage-Backed Securitization Investors Given “Safe Harbor” Protection |
Squire Patton Boggs (US) LLP |
| May 31 2015 |
Cyberbreach and Reputation Woes Hack Away at Bottom Line for 44% of Financial Firms |
Risk and Insurance Management Society, Inc. (RIMS) |
| May 30 2015 |
European Securities and Markets Authority Calls for EMIR Modifications to UCITS Directive |
Katten |
| May 30 2015 |
FERC Finds Manipulation Violations by Company and Trader that Complied with Tariff but did not Act to Further Market Design Goals |
Bracewell LLP |
| May 30 2015 |
Counterfeiting – Bad Business for E-Commerce Websites |
Sterne, Kessler, Goldstein & Fox P.L.L.C. |
| May 29 2015 |
Second Circuit Dismisses Suit Over FBI’s Wiretapping of Marital Conversations in Securities Fraud Investigation |
Katten |
| May 29 2015 |
SEC Proposes Rules to Enhance Information Reported by Investment Advisers |
Morgan, Lewis & Bockius LLP |
| May 29 2015 |
Former Olympic Games Sponsor Settles With SEC for $25 Million Over FCPA Violations |
Katten |
| May 29 2015 |
WSJ: Whistleblowers Claim That SEC Bounty Program Lacks Transparency |
Proskauer Rose LLP |
| May 28 2015 |
Direct Investing: Considerations When Serving as a Family-Designated Director |
McDermott Will & Emery |
| May 28 2015 |
Stock Repurchases: “We Can’t Think Of Anything Better To Do With Your Money” |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| May 28 2015 |
Seventh Circuit Reverses $2.46 Billion Judgment in Securities-Fraud Class Action |
Proskauer Rose LLP |
| May 28 2015 |
Move America Bonds – Close Enough for Government Work |
Squire Patton Boggs (US) LLP |
| May 27 2015 |
Does Mandated Unbundling Deprive Stockholders The Right To Vote On The Whole? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| May 27 2015 |
Overview of NRSRO Due Diligence Rules for Asset-backed Securities Issuers |
Morgan, Lewis & Bockius LLP |
| May 27 2015 |
Audit Committee Dialogue from the PCAOB - Public Company Accounting Oversight Board |
Faegre Drinker |
| May 26 2015 |
SEC Re-Examines Exclusion of Shareholder Proposals That Directly Conflict with Company Proposals; Companies Consider Preemptive Action on Proxy Access |
Faegre Drinker |
| May 26 2015 |
Regulation A+ Final Rules - Securities Act |
Faegre Drinker |
| May 26 2015 |
Second Circuit Narrows Scope of SLUSA Preclusion - Securities Litigation Uniform Standards Act |
Sheppard, Mullin, Richter & Hampton LLP |
| May 26 2015 |
Delaware Chancery Court Holds that Creditor Plaintiffs in Derivative Suits May Satisfy Standing Requirement by Showing Corporation’s Insolvency at Time of Suit, Regardless of Later Solvency |
Sheppard, Mullin, Richter & Hampton LLP |
| May 26 2015 |
SEC Explains Rationale in Forum Selection in Contested Cases |
Barnes & Thornburg LLP |
| May 26 2015 |
Why Directors and Officers Should Demand a Separate Indemnification Agreement |
Mintz |
| May 26 2015 |
Class Action Recovery – A Changing Landscape |
Mintz |
| May 26 2015 |
Doing The Math On Delaware Derivative Settlements |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
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