| Aug 19 2019 |
What is the Statute of Limitations for SEC Whistleblower Reward Cases? |
Zuckerman Law |
| Aug 19 2019 |
REG BI, FORM CRS: The TARDIS of Disclosure Requirements |
Faegre Drinker |
| Aug 16 2019 |
European Commission Publishes Communication on Its Equivalence Policy With Non-EU Countries |
Katten |
| Aug 16 2019 |
SEC Proposes to Modernize Business, Legal Proceedings and Risk Factor Disclosures Required by Regulation S-K |
Katten |
| Aug 16 2019 |
Qualifying Assets Under Investment Company Act Section 3(c)(5)(C) Mortgage Exemption |
Greenberg Traurig, LLP |
| Aug 15 2019 |
SEC Proposes to Modernize, Improve, and Simplify Disclosure Framework Under Regulation S-K |
Ballard Spahr LLP |
| Aug 15 2019 |
Judge Rakoff Unseals Documents in Petrobras Securities Class Action To Allow Use in Foreign Arbitration, Bypassing Traditional Requirements of 28 U.S.C. § 1782 |
Mintz |
| Aug 15 2019 |
New York Commercial Division Justices Provide Dueling Approaches to Discovery Stays in State Court Securities Litigation |
Sheppard, Mullin, Richter & Hampton LLP |
| Aug 15 2019 |
How New York Department of Financial Service’s New Research and Innovation Division Can Improve Cryptocurrency and Technology Regulations |
Foley & Lardner LLP |
| Aug 14 2019 |
Commercial Division Justices Provide Dueling Approaches to Discovery Stays in State Court Securities Litigation |
Sheppard, Mullin, Richter & Hampton LLP |
| Aug 14 2019 |
SEC Proposes to Amend Disclosure Rules Regarding Business Description, Legal Proceedings, and Risk Factors |
Bracewell LLP |
| Aug 14 2019 |
SEC Proposes Amendments to Modernize Items 101, 103, and 105 of Regulation S-K |
Womble Bond Dickinson (US) LLP |
| Aug 12 2019 |
Bridging the Week by Gary DeWaal: August 5 - 9, and August 12, 2019 (Securities or Not; Swap Dealer Misleading Information; Market Abuse) |
Katten |
| Aug 12 2019 |
SEC Division of Corporate Finance Issues Second No-Action Letter for a Blockchain Token Issuance |
McDermott Will & Schulte LLP |
| Aug 9 2019 |
BitBlog Weekly Summary: Regulatory Activity in the Digital Asset Space |
Polsinelli PC |
| Aug 9 2019 |
FINRA Issues Regulatory Notice Reminding Members of the SEC’s Adoption of a Best Interest Standard of Conduct |
Katten |
| Aug 9 2019 |
Will Director/Shareholders Always Be Liable To Repay Unlawful Dividends? |
Squire Patton Boggs (US) LLP |
| Aug 9 2019 |
The CSL And Foreign Subsidiaries |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Aug 8 2019 |
Possible Changes for FINRA’s Restricted Person and Spinning Provisions |
Bracewell LLP |
| Aug 7 2019 |
Parents, Subsidiaries And Section 2115 |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Aug 6 2019 |
Is There Securities Fraud Without Reliance And Causation? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Aug 5 2019 |
Bridging the Week by Gary DeWaal: July 29 – August 2, and August 5, 2019 (Parallel Spoofing Charges; UK Regulator’s Digital Asset Perimeter) |
Katten |
| Aug 5 2019 |
A Pocketful of Quarters: SEC Provides Digital Asset Offering Guidance |
Polsinelli PC |
| Aug 5 2019 |
Amendments to ‘Volcker Rule’ to Exclude Certain ‘Small’ Banks From Key Prohibitions |
Greenberg Traurig, LLP |
| Aug 5 2019 |
ILPA Principles 3.0: Focusing on Enhancing Transparency in Private Equity Funds and Alternative Investments |
Katten |
| Aug 5 2019 |
SLGs Window to Reopen! And Another Change. |
Squire Patton Boggs (US) LLP |
| Aug 5 2019 |
CeDe - Acronym, Initialization or Portmanteau? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Aug 3 2019 |
Pending CFIUS Filing: Elastic N.V. and Endgame Inc. |
Squire Patton Boggs (US) LLP |
| Aug 1 2019 |
Board Observers’ Functions Are Distinct from Directors for Liability Purposes Under Section 11 |
Wiggin and Dana LLP |
| Aug 1 2019 |
SEC/FINRA Joint Statement on Custody |
Greenberg Traurig, LLP |
| Aug 1 2019 |
SEC Clears First Two Regulated Token Offerings |
Greenberg Traurig, LLP |
| Aug 1 2019 |
SEC Adopts Amendments to Loan Provision of Auditor Independence Rules |
Vedder Price |
| Aug 1 2019 |
SEC Issues ‘No Action’ Letters Allowing Sales of Utility Tokens |
Greenberg Traurig, LLP |
| Aug 1 2019 |
SEC Staff Provides Conditional No-Action Assurance for Index Funds Unable to Comply with Diversification Requirements Due to Large Index Constituents |
Vedder Price |
| Jul 31 2019 |
SEC Settles Charges against Custodian for Allegedly Overcharging Investment Company Clients |
Vedder Price |
