| Jan 29 2015 |
The Aftermath of Newman Likely to Cause Problems for Prosecutors in Old and New Cases re: Insider Trading |
Faegre Drinker |
| Jan 29 2015 |
Aircraft Securitizations and the EU Risk Retention Rules |
Vedder Price |
| Jan 28 2015 |
SEC Announces 2015 Examination Priorities |
Greenberg Traurig, LLP |
| Jan 28 2015 |
California Attorney General Declares Whistleblower Tally A State Secret |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jan 28 2015 |
UBS Financial Services Accused of Trust Fraud |
Mahany Law |
| Jan 27 2015 |
Revised Hart-Scott-Rodino Premerger Notification Thresholds for 2015 |
Greenberg Traurig, LLP |
| Jan 27 2015 |
SEC Co-Chief of Division of Enforcement’s Asset Management Unit Identifies 2015 Exam Priorities for Hedge and Private Equity Funds |
Sheppard, Mullin, Richter & Hampton LLP |
| Jan 26 2015 |
Massachusetts Adopts Intrastate Crowdfunding Rules, Effective Immediately |
Mintz |
| Jan 26 2015 |
Second Circuit Notes Split with Ninth Circuit Over Whether Failure to Make Adequate Disclosures Under Item 303 of Regulation S-K May Serve as Basis for a Section 10(b) Claim |
Sheppard, Mullin, Richter & Hampton LLP |
| Jan 26 2015 |
California Commissioner of Business Oversight Ponders Whether To Exempt Real Estate Brokers From Investment Adviser Registration |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jan 26 2015 |
Government Seeks Rehearing in Landmark Insider-Trading Case |
Proskauer Rose LLP |
| Jan 25 2015 |
China Regulator Proposes to Permit Designated Domestic Futures Contracts to be Traded by Foreigners |
Katten |
| Jan 25 2015 |
New Background Check Obligations for Securities Broker-Dealers Are Coming Soon |
Greenberg Traurig, LLP |
| Jan 24 2015 |
OCC Issues New Comptroller’s Handbook Sections Relating to Securities Compliance, Litigation and Conflicts of Interest |
Katten |
| Jan 23 2015 |
SEC Chair Directs Staff to Review Commission Rule Excluding Conflicting Proxy Proposals |
Katten |
| Jan 23 2015 |
Third Circuit Upholds Securities Fraud Conviction of Canadian Stock Broker Where "Irrevocable Liability" for Transactions Occurred in the United States |
Barnes & Thornburg LLP |
| Jan 23 2015 |
Tenth Circuit Affirms Dismissal of Securities Class Action for Failing to Plead Scienter Under the PSLRA |
Katten |
| Jan 23 2015 |
NFA (National Futures Association) Increases Minimum Security Deposits for Forex Transactions |
Katten |
| Jan 23 2015 |
China Newsletter, Winter 2015 / No. 29 |
Greenberg Traurig, LLP |
| Jan 23 2015 |
SEC Comments on FINRA’s Proposed Rule Amendment to Increase Pricing Disclosure |
Katten |
| Jan 23 2015 |
Federal Prosecutors Charge Canadian Trader in “Layering” Scheme |
Katten |
| Jan 23 2015 |
SEC Proposes Amendments to Registration Requirements Further Implementing the JOBS Act |
Greenberg Traurig, LLP |
| Jan 22 2015 |
Chasing the Gatekeepers |
Barnes & Thornburg LLP |
| Jan 22 2015 |
Some LLC Names Slip Past California’s Statutory Ban |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jan 22 2015 |
Third Circuit Defines “Extraterritorial” Applicability of Federal Securities Laws in United States v. Georgiou |
Proskauer Rose LLP |
| Jan 21 2015 |
“Appraisal Arbitrage” Receives Boost from Delaware Court of Chancery |
Mintz |
| Jan 21 2015 |
Technology:Is there an IPO Boom? 2014 IPO Statistics |
Mintz |
| Jan 21 2015 |
SEC Charges California Attorney For Allegedly False Legal Opinion |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jan 20 2015 |
The Securities And Exchange Commission (SEC): Big Data & Surveilance |
Covington & Burling LLP |
| Jan 20 2015 |
SEC Examination Priorities; In Life as in Literature; Unregistered CTA Sanctioned: Bridging the Week January 12 to 16 and 19, 2015 [VIDEO] |
Katten |
| Jan 20 2015 |
No Action Letters: The SEC’s Rule 14a-8 Process Just Became Even More Pointlessly Outré |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jan 18 2015 |
ESMA Publishes First Annual Review of CCP Colleges Under EMIR--European Securities and Markets Authority |
Katten |
| Jan 17 2015 |
New Law Aligns Clearing and Margin Exceptions for Swaps |
Katten |
| Jan 17 2015 |
SEC 2015 Examination Priorities Focus on Liquid Alternatives and Fixed-Income Funds |
Katten |
| Jan 16 2015 |
SEC Examination Priorities in 2015 to Focus on Transparency Issues and the Early Detection of Potential Fraudulent or Other Illegal Activity |
Proskauer Rose LLP |
| Jan 16 2015 |
SEC Extends AML Relief for Broker-Dealer CIP Reliance on Advisers |
Morgan, Lewis & Bockius LLP |
| Jan 16 2015 |
CFTC Staff Extends No-Action Relief to Certain Reporting Counterparties Masking Identifying Information Pursuant to Non-US Law |
Katten |
| Jan 16 2015 |
Investor Notification of Fraud: This Is One Form 8-K You’ll Never Want To File |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jan 16 2015 |
SEC Releases 2015 Examination Priorities --Securities and Exchange Commission |
Sheppard, Mullin, Richter & Hampton LLP |
| Jan 16 2015 |
Government Seeks Extended Prison Term in Securities Fraud Case |
Katten |
| Jan 16 2015 |
ESMA Recommends to the European Commission That All MiFID Firms Have a Full-Time Compliance Function--European Securities and Marketing Authority |
Katten |
| Jan 16 2015 |
ESMA Announces Open Hearing on MiFID II and MiFIR--European Securities and Markets Association |
Katten |
| Jan 16 2015 |
Four Things to Know About the 2015 SEC OCIE Exam Priorities |
Mintz |
| Jan 15 2015 |
New FINRA Rule Addresses Payments to Unregistered Persons |
Greenberg Traurig, LLP |
| Jan 15 2015 |
FINRA’s New Background Investigation Rule Will Likely Increase Firms’ Costs and Potentially Increases Exposure for Firms in Customer Disputes |
Proskauer Rose LLP |
| Jan 15 2015 |
Representing Others Before The SEC --Securities and Exchange Commission |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jan 14 2015 |
New Best Execution Requirement for Municipal Securities Transactions |
Morgan, Lewis & Bockius LLP |
| Jan 14 2015 |
NASAA Launches Streamlined Electronic Multi-State Private Offering Filing System --North American Securities Administrators Association |
Barnes & Thornburg LLP |
| Jan 13 2015 |
SEC Sanctions Two Exchanges for Failing to Accurately Describe Order Types and Making Preferential Disclosure to High Frequency Traders |
Proskauer Rose LLP |
| Jan 13 2015 |
SEC Settles with Investment Advisory Firm over Claims of False Performance Advertising |
Vedder Price |
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