| May 3 2019 |
CFTC Chair Proposes Relief for Phase 5 Initial Margin Implementation |
Katten |
| May 3 2019 |
CFTC Proposes Amendments to DCO Regulations |
Katten |
| May 2 2019 |
In a First, SEC Grants Exemptive Relief to Non-Transparent Active ETF |
Greenberg Traurig, LLP |
| May 2 2019 |
Alabama Federal Court Denies Motion for Summary Judgement on SOX Whistleblower Claim |
Proskauer Rose LLP |
| May 1 2019 |
Opportunity Zones Update: New Proposed Treasury Regulations (PART I) |
Sheppard, Mullin, Richter & Hampton LLP |
| Apr 30 2019 |
Blockstack Announces SEC Filing for $50 Million Regulation A Token Offering |
Proskauer Rose LLP |
| Apr 30 2019 |
SEC Issues First No Action Letter on Crypto Tokens |
Sheppard, Mullin, Richter & Hampton LLP |
| Apr 29 2019 |
SEC Issues Risk Alert on Customer Privacy Safeguards |
Sheppard, Mullin, Richter & Hampton LLP |
| Apr 26 2019 |
Investment Services Regulatory Update For April 2019 |
Vedder Price |
| Apr 26 2019 |
OCIE Issues Risk Alert on Investment Adviser and Broker-Dealer Compliance Issues Related to Regulation S-P |
Katten |
| Apr 26 2019 |
CFTC Approves Final Rule Providing Exception to Annual Privacy Notice Requirements |
Katten |
| Apr 26 2019 |
Tenth Circuit Affirms Extraterritorial Reach of SEC Enforcement of the Federal Securities Laws |
Mintz |
| Apr 25 2019 |
Not So Secure: OCIE Identifies Regulation S-P Compliance Issues |
Katten |
| Apr 25 2019 |
Ninth Circuit Limits Protections for FCPA Whistleblowers |
Squire Patton Boggs (US) LLP |
| Apr 25 2019 |
SEC Gives Guidance on Securities Analysis for Digital Assets |
Proskauer Rose LLP |
| Apr 25 2019 |
Warning Shot: Charges Against OneCoin Include Securities Fraud |
Proskauer Rose LLP |
| Apr 24 2019 |
Supreme Court Hearing Raises Questions About Private Rights of Action Under § 14 of Securities Exchange |
Proskauer Rose LLP |
| Apr 23 2019 |
MintzTech Connect: Section 4(a)(7): More Than a Codification of Section “4(a)(1½)” |
Mintz |
| Apr 23 2019 |
SEC: Practice What You Preach on Privacy |
Vedder Price |
| Apr 22 2019 |
Bridging the Week by Gary DeWaal: April 15 – 19 and April 22, 2019 (Privacy Requirements No Secret; Not Quite the "Thrilla in Manila") |
Katten |
| Apr 19 2019 |
FINRA Requests Comment on Proposed Pilot Program to Study Changes to Corporate Bond Block Trade Dissemination |
Katten |
| Apr 18 2019 |
SEC Guidance on Exhibit Redactions For Immaterial, Competitively Harmful Information |
Greenberg Traurig, LLP |
| Apr 18 2019 |
SEC Issues Privacy and Data Security Risk Alert |
Jackson Lewis P.C. |
| Apr 17 2019 |
SEC Approves First Nontransparent, Actively Managed ETFs |
Faegre Drinker |
| Apr 17 2019 |
Observations From the Enforcement Directors at SEC’s Annual Conference |
McDermott Will & Schulte LLP |
| Apr 16 2019 |
New Effort to Exempt Crypto Currency from Certain SEC, Tax and Other Regulatory Burdens |
Sheppard, Mullin, Richter & Hampton LLP |
| Apr 16 2019 |
Capital Markets & Public Companies Quarterly: SEC Modernization and Simplification Amendments, Guidance Regarding Board Diversity Disclosure, and Updates at NASDAQ and NYSE |
McDermott Will & Schulte LLP |
| Apr 15 2019 |
A Review of Recent Whistleblower Developments: April 15th |
Foley & Lardner LLP |
| Apr 15 2019 |
SEC Adopts Modernization And Simplification Of Regulation S-K |
McDermott Will & Schulte LLP |
| Apr 12 2019 |
FINRA Announces Updates of the Interpretations of Financial and Operational Rules |
Katten |
| Apr 12 2019 |
Blockchain in Energy: Recent SEC Guidance on Tokenization |
Mintz |
| Apr 12 2019 |
FINRA Proposes Rule Extending the Pilot Program Related to Exchange-Listed Securities |
Katten |
| Apr 12 2019 |
FINRA Proposes Rule to Adopt the Remaining Legacy NASD and Incorporated NYSE Rules as FINRA Rules |
Katten |
| Apr 12 2019 |
FINRA Proposes Rule Extending the Market-Wide Circuit Breakers in NMS Stocks Pilot Program |
Katten |
| Apr 12 2019 |
SEC Adopts Rules to Modernize and Simplify Disclosure |
Katten |
