| 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 |
| Apr 2 2015 |
Investors Claim Failure To Qualify Justifies Issuer’s Return Of Investment - California Securities |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Apr 1 2015 |
Important Regulatory Developments for Proprietary Trading Firms and Broker-Dealers Using Algorithmic Trading Strategies |
Foley & Lardner LLP |
| Apr 1 2015 |
It’s Not Boilerplate Anymore: SEC Order Serves as Reminder to Carefully Consider Language Used in Employee Confidentiality Agreements and Policies |
Mintz |
| Apr 1 2015 |
IRS Releases Final Regulations Clarifying 162(m) Limitation on Compensation |
Mintz |
| Apr 1 2015 |
A Review of Recent Whistleblower Developments |
Foley & Lardner LLP |
| Apr 1 2015 |
Proposed SEC and FINRA Rules Would Increase Regulation of Proprietary and Algorithmic Trading Firms |
ArentFox Schiff LLP |
| Apr 1 2015 |
Welcome To California: No Foreign Corporations Need Apply |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Mar 31 2015 |
Fallout From Newman Continues as Congress Weighs In re: Insider Trading |
Barnes & Thornburg LLP |
| Mar 31 2015 |
A Compilation of SEC Enforcement and Non-Enforcement Actions |
Foley & Lardner LLP |
| Mar 30 2015 |
Conflict Minerals Rule Weekly Recap #100 – March 30, 2015 re: SEC Legal Challenges to Conflict Minerals Rules |
Squire Patton Boggs (US) LLP |
| Mar 30 2015 |
California District Court Refuses To Halt SEC Administrative Proceedings |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Mar 29 2015 |
SEC Adopts Final Rules for Regulation A+ Offerings |
Katten |
| Mar 28 2015 |
SEC Regulation A+: More Access to Capital for Small Companies With Less Regulation? |
Dinsmore & Shohl LLP |
| Mar 28 2015 |
SEC Staff Clarifies Regulation SHO FAQ 2.5(B) on Order Marking |
Katten |
| Mar 28 2015 |
FINRA Issues Notice on New Rules and Amendments Relating to Transaction-Based Compensation, Membership and Sanctions |
Katten |
| Mar 27 2015 |
Third Congressional Proposal to Define Insider Trading |
Proskauer Rose LLP |
| Mar 27 2015 |
Software Company to Face Suit Over Contract Restructuring |
Katten |
| Mar 27 2015 |
In Omnicare, U.S. Supreme Court Issues Landmark Securities Decision |
Faegre Drinker |
| Mar 27 2015 |
SEC Requires FINRA Registration for High Frequency Traders |
Sheppard, Mullin, Richter & Hampton LLP |
| Mar 27 2015 |
Fourth Circuit Sustains Securities Fraud Claim Against Drug Manufacturer |
Katten |
| Mar 27 2015 |
European Securities and Markets Authority (ESMA) Updates Q&A on the AIFMD |
Katten |
| Mar 27 2015 |
SEC Rule Change Would Require High-Frequency Traders to Register with FINRA |
Proskauer Rose LLP |
| Mar 27 2015 |
SEC Charges Investors With Violating Beneficial Ownership Reporting Requirements |
Hunton Andrews Kurth |
| Mar 27 2015 |
Covenants Not To Compete – By The Numbers |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Mar 27 2015 |
Delaware Bar Proposes Amendments to Ban Fee-Shifting Provisions and Allow Delaware-Only Forum Selection Provisions in Corporate Charters and Bylaws |
Mintz |
| Mar 26 2015 |
FINRA Seeks Comment on Proposal Requiring Registration of Associated Persons Who Develop Algorithmic Trading Strategies |
Katten |
| Mar 26 2015 |
SEC's New Regulation A+ and the States' M Word (Merit Review) |
Lewis Roca Rothgerber LLP |
| Mar 26 2015 |
Omnicare Decision Clarifies Grounds for Section 11 Liability re: Securities |
Morgan, Lewis & Bockius LLP |
| Mar 26 2015 |
Omnicare Clarifies Standards for Liability for Statements of Opinion Under Section 11 |
Hunton Andrews Kurth |
| Mar 26 2015 |
SEC Adopts Regulation A+: New Registration Option For Small and Mid-Sized Companies |
Mintz |
| Mar 25 2015 |
Supreme Court Opines on Opinions v. Facts in the Sale of Securities |
Michael Best & Friedrich LLP |
| Mar 25 2015 |
Supreme Court Holds That Issuers Can Be Liable for Omitting Material Facts From Statements of Opinion in Omnicare Case |
Mintz |
| Mar 25 2015 |
Supreme Court Clarifies Liability for Statements of Opinion in Registration Statements re: Securities |
Proskauer Rose LLP |
| Mar 24 2015 |
Do Founders Really Control Their Company with 51% Ownership? |
Foley & Lardner LLP |
| Mar 24 2015 |
Should The SEC Adopt Governance Principles (For Itself)? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
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