| Jun 21 2019 |
Federal Prosecutor Faces Accusations that it Used the SEC to Collect Evidence for its Criminal Investigation |
Faegre Drinker |
| Jun 19 2019 |
SDNY Dismisses SOX and Dodd-Frank Whistleblower Claims Against Private Company |
Proskauer Rose LLP |
| Jun 19 2019 |
Court Rules No Scienter Required |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jun 18 2019 |
SEC Adopts New Broker-Dealer Rule, Also Affecting Investment Advisers |
von Briesen & Roper, s.c. |
| Jun 18 2019 |
SEC Awards Joint Whistleblowers $3 Million Even Though Information Was Not Voluntarily Given |
Proskauer Rose LLP |
| Jun 17 2019 |
Is An Annuity Contract A Security? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jun 15 2019 |
ESMA Updates Its Opinion on Ancillary Activity Calculations - 2019 |
Katten |
| Jun 14 2019 |
IOSCO Consults on Regulating Crypto-Asset Trading Platforms |
Katten |
| Jun 14 2019 |
The Newest SEC OCIE Risk Alert: Cloud Storage Is Great, If Your Cloud Is Secure! |
Greenberg Traurig, LLP |
| Jun 14 2019 |
Article 14 CRR Update |
Cadwalader, Wickersham & Taft LLP |
| Jun 13 2019 |
SEC Sues Kik for ICO |
Proskauer Rose LLP |
| Jun 12 2019 |
Can the SEC Bring Enforcement Actions Against International Schemes? |
Zuckerman Law |
| Jun 12 2019 |
The Final Reg BI Package: What to Know and What’s Next |
Faegre Drinker |
| Jun 11 2019 |
SEC Issues Alert On Outsourcing and Data Security |
Sheppard, Mullin, Richter & Hampton LLP |
| Jun 11 2019 |
Court Rules Lot Sales Were Sales Of Securities |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jun 9 2019 |
SEC Adopts Rules and Interpretations To Enhance Protections and Preserve Choice for Retail Investors |
Katten |
| Jun 7 2019 |
SEC Approves Amendments to FINRA’s Codes of Arbitration Procedure for Customer and Industry Disputes |
Katten |
| Jun 7 2019 |
NASAA, SEC and FINRA Issue Senior Safe Act Fact Sheet |
Katten |
| Jun 7 2019 |
What are SEC Sanctions and Penalties? |
Zuckerman Law |
| Jun 6 2019 |
SEC Adopts Regulation Best Interest |
Cadwalader, Wickersham & Taft LLP |
| Jun 6 2019 |
Quest Diagnostics Reports Data Breach Affecting 11.9M Patients in Securities Filing |
Robinson & Cole LLP |
| Jun 6 2019 |
The SEC Lends a Hand to Banks in this Low Interest Rate Environment |
Dinsmore & Shohl LLP |
| Jun 6 2019 |
SEC Passes Preemption Question To The Courts |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jun 5 2019 |
Delaware Chancery Court Provides Useful Guidance for Protecting Pre-Merger Privileges in Post-Closing Litigation Between Buyers and Sellers |
Sheppard, Mullin, Richter & Hampton LLP |
| Jun 5 2019 |
SEC Approves Final Regulation Best Interest, Form CRS |
Greenberg Traurig, LLP |
| Jun 5 2019 |
Report Channel Stuffing and Earn an SEC Whistleblower Award |
Zuckerman Law |
| Jun 3 2019 |
Security-Based Swaps Meet Rule 15a-6 - Potential New Exemptions for Security-Based Swaps and SBSDs |
Cadwalader, Wickersham & Taft LLP |
| Jun 3 2019 |
Reinstatement Held To Validate Retroactive Recordation Of Lien |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jun 3 2019 |
ASIC Updates Guidance On Initial Coin Offerings And Crypto-Assets |
K&L Gates LLP |
| May 30 2019 |
SEC Office of the Whistleblower |
Zuckerman Law |
| May 30 2019 |
Investment Services Regulatory Update - May 2019 |
Vedder Price |
| May 30 2019 |
House Financial Services Committee Passes Bill to Expand Dodd-Frank Whistleblower Protection to Internal Whistleblowers |
Proskauer Rose LLP |
| May 29 2019 |
U.S. Securities and Exchange Commission Issues Risk Alert Regarding Safeguarding Customer Records and Information Stored on Cloud-Based Platforms |
Faegre Drinker |
| May 29 2019 |
The SEC’s Reg BI Package: Time to Vote |
Faegre Drinker |
| May 28 2019 |
Best Interest Standard of Care for Advisors #8 |
Faegre Drinker |
