| Apr 14 2015 |
SEC Targets Confidentiality Agreements that Could Deter Whistleblowers |
Michael Best & Friedrich LLP |
| Apr 14 2015 |
Do Your Bylaws Make Obtaining Waivers Of Notice More Onerous? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Apr 13 2015 |
SEC Blows the Whistle on Confidentiality Agreements |
Foley & Lardner LLP |
| Apr 13 2015 |
Why Your Shareholder Meeting Waivers Of Notice May Not Be Up To Snuff |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Apr 13 2015 |
Recent Enforcement Trends in the Commodity Markets (Part 1) |
Barnes & Thornburg LLP |
| Apr 10 2015 |
Three Thoughts about the SEC’s First “Pretaliation” Case |
Brooks, Pierce, McLendon, Humphrey & Leonard, LLP |
| Apr 10 2015 |
Equity Firm Agrees to Pay $3 Million to NM State Investment Counsel for Moneys Tied to Pay For Play Scheme |
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| Apr 10 2015 |
Constitutional Challenges to SEC Administrative Proceedings |
Proskauer Rose LLP |
| Apr 10 2015 |
Uniform Fiduciary Standards on the Horizon for Brokers and RIAs |
Barnes & Thornburg LLP |
| Apr 10 2015 |
OCIE Releases 2015 Examination Priorities |
Vedder Price |
| Apr 10 2015 |
U.S. Court of Appeals Reinstates Shareholder Class Action against Schwab Alleging Various Claims Relating to Violation of Fundamental Investment Policies |
Vedder Price |
| Apr 10 2015 |
Second Circuit Refuses to Rehear Groundbreaking Insider Trading Case |
Katten |
| Apr 10 2015 |
SEC Asset Management Unit Co-Chief Discusses Enforcement Priorities |
Vedder Price |
| Apr 10 2015 |
SEC Secures Victory on Fraud Allegations Against Technology Executive |
Katten |
| Apr 10 2015 |
DBO Establishes Protocol To Block Unlicensed Payday Lenders’ Ads |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Apr 9 2015 |
Could The SEC Ask Airlines To Produce Data On Delayed And Canceled Flights? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Apr 9 2015 |
A New Concern about Confidentiality Agreements: Whistleblower Protection and Anti-Retaliation Emphasized and Enforced by the SEC |
Stark & Stark |
| Apr 9 2015 |
SEC and State OIG Allege that Contractors’ Policies, Procedures, and Agreements Suppress Whistleblowing |
Covington & Burling LLP |
| Apr 8 2015 |
Judge Rakoff: Newman No Obstacle for SEC’s Civil Enforcement Action of “Tippees” |
Faegre Drinker |
| Apr 8 2015 |
Preserving Net Operating Losses (NOL) Carryforward: What Are You Doing to Protect Your Company’s Valuable Tax Assets? |
Mintz |
| Apr 8 2015 |
Times May Change But Politicians Don’t |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Apr 7 2015 |
The STOCK Act in the “Post-Newman” Era - Stop Trading on Congressional Knowledge Act |
Foley & Lardner LLP |
| Apr 7 2015 |
Second Circuit Court Upholds SEC’s Insider-Trading Complaint and Questions Second Circuit’s Newman Decision |
Proskauer Rose LLP |
| Apr 7 2015 |
Are The SEC’s Canons Of Ethics Written In The Wind And Waves? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Apr 7 2015 |
U.S. Securities Regulators Take Notice of EB-5 |
Greenberg Traurig, LLP |
| Apr 6 2015 |
Manipulation and Manipulative Device; Sue and Be Sued; Alleged Pastor Fraud; Transfer Trades - Bridging the Week: March 30 to April 3 and 6, 2015 |
Katten |
| Apr 6 2015 |
Second Circuit Rebuffs DOJ and SEC in Denying Rehearing in Newman Insider Trading Case |
ArentFox Schiff LLP |
| Apr 6 2015 |
SEC Announces Enforcement Action Regarding Employee Confidentiality Agreement |
Proskauer Rose LLP |
| Apr 4 2015 |
Supreme Court Issues Guidance on Disclosure of Opinions in Registration Statements |
Greenberg Traurig, LLP |
| Apr 3 2015 |
Second Circuit Denies DOJ’s Request for En Banc Review of Newman |
Proskauer Rose LLP |
| Apr 3 2015 |
Section 162(m) Final Regulations Clarify Requirements for Exemptions to $1 Million Deduction Limitation |
McDermott Will & Emery |
| Apr 3 2015 |
SEC Warns Companies Not To Try To Silence Potential Whistleblowers |
Tycko & Zavareei LLP |
| Apr 3 2015 |
SEC Charges Ex-CEO with Concealing Personal Use of Corporate Funds |
Proskauer Rose LLP |
| Apr 3 2015 |
CFTC Extends Portfolio Margining on ICE Clear Europe |
Katten |
| Apr 3 2015 |
CFTC Extends CCO Report Filing Deadline |
Katten |
| Apr 3 2015 |
CME Updates Order Routing/Front-End Audit Trail Requirements |
Katten |
| Apr 3 2015 |
SEC Reminds the Fund Industry that Gifts May Violate the 1940 Act, Not Just the Code of Ethics |
Greenberg Traurig, LLP |
| Apr 3 2015 |
CFTC Issues Relief to Swap Dealers Regarding Legacy SPV Swaps |
Katten |
| Apr 3 2015 |
SEC Brings First Action Against Company for Potentially Stifling Whisteleblowers |
Katten |
| Apr 3 2015 |
S.E.C. Adopts Final Rules Amending Regulation A |
Sheppard, Mullin, Richter & Hampton LLP |
| Apr 3 2015 |
United States Supreme Court Resolves Circuit Split Regarding Section 11 Claims Predicated Upon Allegedly Misleading Statements of Opinion |
Sheppard, Mullin, Richter & Hampton LLP |
| Apr 3 2015 |
Securities Trade Association Voices Support for Application of Gabelli Decision to All SEC Enforcement Actions |
Faegre Drinker |
| Apr 3 2015 |
SEC Uses Books and Records and Internal Control Regulations to Extend Reach of Actions Beyond Fraud |
Faegre Drinker |
| Apr 3 2015 |
Is Chametz A Good? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Apr 3 2015 |
SEC Order May Prompt Employers to Review Employee Confidentiality Obligations |
Covington & Burling LLP |
| Apr 2 2015 |
Confidentiality Agreements May Violate Dodd-Frank Act |
Jackson Lewis P.C. |
| Apr 2 2015 |
SEC Announces Action Against Company for Using Confidentiality Agreements That Allegedly Could Deter Whistleblowers |
Mintz |
| Apr 2 2015 |
SEC Brings Enforcement Proceeding Relating to Confidentiality Agreements That May Stifle Whistleblowers |
Foley & Lardner LLP |
| Apr 2 2015 |
SEC Uses Its Powers under the Dodd-Frank Whistleblower Provisions to Warn Employers Against Attempting to Restrict Employees’ Ability to Report Potential Violations |
Faegre Drinker |
| Apr 2 2015 |
Monthly Energy Futures Exchange Issuance Report: March 2015 |
Bracewell LLP |
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