| Oct 2 2019 |
SEC: Here Is When Loss Contingencies Must Be Disclosed and Reserved |
Faegre Drinker |
| Oct 2 2019 |
Real Estate Development Runs Afoul Of California Securities Laws |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 1 2019 |
SEC Sanctions Broker-Dealer and Its CEO for Failing to Supervise an Employee Who Committed Securities Fraud |
Epstein Becker & Green, P.C. |
| Oct 1 2019 |
BitBlog Weekly Summary: SEC Sues ICOBox over ICO Launch |
Polsinelli PC |
| Oct 1 2019 |
Can A Company Have More Than One Principal Executive Office? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Sep 30 2019 |
This California Securities Law Allows California Issuers To Choose The Law Of Another Jurisdiction |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Sep 27 2019 |
Institutional Investor Advocacy Group Proposes Limits to Multi-Class Voting by Delaware Companies |
Katten |
| Sep 27 2019 |
New SEC Rule Expands “Test-the-Waters” to All Issuers |
Katten |
| Sep 27 2019 |
SEC Settles Charges of Auditor Independence Violations for $8 Million |
Faegre Drinker |
| Sep 27 2019 |
SEC Adopts New ETF Rule |
Vedder Price |
| Sep 26 2019 |
California Enacts Another Risk Factor |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Sep 25 2019 |
Best Interest Standard of Care for Advisors #11 |
Faegre Drinker |
| Sep 25 2019 |
SEC Proposes Rules to Update Statistical Disclosure Requirements for Bank and Savings and Loan Registrants |
Bracewell LLP |
| Sep 24 2019 |
SEC Provides Guidance For Mutual Fund Risk Disclosures |
Faegre Drinker |
| Sep 24 2019 |
Senators Introduce Bipartisan Legislation Strengthening Corporate Whistleblower Protections and Improving the SEC and CFTC Whistleblower Programs |
Zuckerman Law |
| Sep 24 2019 |
Stock Exchanges Before The SEC |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Sep 21 2019 |
QCA’s Updated Guidance for Audit Committees |
Squire Patton Boggs (US) LLP |
| Sep 20 2019 |
SEC Issues Security-Based Swap Recordkeeping and Reporting Rules |
Katten |
| Sep 20 2019 |
CFTC Market Risk Advisory Committee Approves Plain English IBOR Risk Disclosures |
Katten |
| Sep 20 2019 |
CFTC Extends Public Comment Period for Proposed Rules Pertaining to Cross-Border Clearing |
Katten |
| Sep 20 2019 |
DOJ and CFTC Bring Actions Against Precious Metals Traders |
Faegre Drinker |
| Sep 20 2019 |
CFTC and European Commission Issue Joint Statement Following Meeting on Cross-Border Derivatives Regulatory Issues |
Katten |
| Sep 20 2019 |
CFTC Unanimously Approves Measures Related to Position Limits and Position Accounting for Security Futures Products and Public Rulemaking Procedures |
Katten |
| Sep 19 2019 |
Insights From the First Wave of Critical Audit Matters |
Bracewell LLP |
| Sep 19 2019 |
SEC Proposes to Make Significant Revisions to Disclosure Requirements for Bank and Savings and Loan Holding Companies |
Jones Walker LLP |
| Sep 18 2019 |
Compliance Officers Beware: Your Conversations With the NFA During Examinations Could Lead to Charges |
Faegre Drinker |
| Sep 18 2019 |
SEC Looks to Modernize Disclosure Approach |
Sheppard, Mullin, Richter & Hampton LLP |
| Sep 18 2019 |
Best Interest Standard of Care for Advisors #10 |
Faegre Drinker |
| Sep 18 2019 |
SEC Questions Puts Cart Before The Horse |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Sep 17 2019 |
Hart-Scott-Rodino Annual Report for Fiscal Year 2018: Decreases in Second Requests but Increased Likelihood of Challenged Deal Where Second Request Issued |
Cadwalader, Wickersham & Taft LLP |
| Sep 16 2019 |
SEC Changes Its Approach to the No-Action Request Process for Excluding Shareholder Proposals under Rule 14a-8 |
Jones Walker LLP |
| Sep 13 2019 |
No Equal Dignity For Corporate Officers |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Sep 13 2019 |
SEC Staff Announces Changes to Rule 14a-8 No-Action Request Process |
Katten |
| Sep 13 2019 |
SEC: Amendments to CAT NMS Plan & Small Entity Compliance Guide for RegBI & Form CRS |
Katten |
| Sep 13 2019 |
FINRA and SEC Issue Joint Statement on Security Token and Custody Rules |
Polsinelli PC |
