| Mar 27 2019 |
SEC To Focus on Cybersecurity in 2019 |
Sheppard, Mullin, Richter & Hampton LLP |
| Mar 27 2019 |
SEC Announces First Whistleblower Awards of 2019 |
Faegre Drinker |
| Mar 26 2019 |
SEC Adopts Final Rules To Further Simplify Disclosure Requirements |
Womble Bond Dickinson (US) LLP |
| Mar 26 2019 |
Can An Employer’s Disclosure Of An Employee’s Lawsuit In A Required SEC Disclosure Constitute Prohibited Retaliation? |
Squire Patton Boggs (US) LLP |
| Mar 26 2019 |
SEC Proposes Registration, Communications and Offering Reform for Closed-End Funds and Business Development Companies |
Faegre Drinker |
| Mar 26 2019 |
FAST Act Update: SEC Adopts Amendments to Modernize and Simplify Public Disclosure |
Mitchell Silberberg & Knupp LLP |
| Mar 22 2019 |
FINRA Reminds Firms of Obligations Under Rule 15c2-11(a)(4) |
Katten |
| Mar 22 2019 |
SEC Adopts Amendments to Modernize and Simplify Disclosure Requirements |
Bracewell LLP |
| Mar 22 2019 |
FINRA Issues Guidance on FOCUS Reporting for Operating Leases |
Katten |
| Mar 22 2019 |
CFTC Announces Energy and Environmental Markets & Global Markets Advisory Committee Meetings |
Katten |
| Mar 20 2019 |
Upcoming/New CFIUS Filing: Brookfield Asset Management and Oaktree Capital Group |
Squire Patton Boggs (US) LLP |
| Mar 18 2019 |
Bridging the Week by Gary DeWaal: March 11 – 15 and March 18, 2019 (Positioning for New Position Limits Proposal; Custody and Cryptoassets; Supervision for Swap Dealers) VIDEO |
Katten |
| Mar 17 2019 |
NFA Issues Notices I-19-07 & I-19-08 |
Katten |
| Mar 16 2019 |
FINRA Files Proposed Rule Change to CAB Rules Governing Qualification, Registration and Continuing Education of Associated Persons of CABs |
Katten |
| Mar 13 2019 |
Upcoming/New CFIUS Filing: GIC Pte. Ltd., Enagas S.A. and Tallgrass Energy |
Squire Patton Boggs (US) LLP |
| Mar 12 2019 |
Second Circuit Holds That Issuer’s Alleged Statements Concerning Its Regulatory Compliance Efforts Do Not Constitute Material Misstatements |
Sheppard, Mullin, Richter & Hampton LLP |
| Mar 12 2019 |
CFTC and NFA Commodities Regulatory Update |
Greenberg Traurig, LLP |
| Mar 12 2019 |
ICSID 2018 Caseload Reflects Continued Uptick of Investor-State Arbitrations |
Sheppard, Mullin, Richter & Hampton LLP |
| Mar 12 2019 |
Teva Putative Federal Securities Class Member Seeks to Toll Statute of Repose with Motion to Intervene |
Mintz |
| Mar 12 2019 |
SEC Releases SCSD Self-Reporting Initiative Settlements |
Faegre Drinker |
| Mar 11 2019 |
Bridging the Week by Gary DeWaal: March 4 – 8 and March 11, 2019 (Bribing Is Wrong; Smarter Swaps APs Are Better; Commercially Reasonable Prices for EFRPs Are Best) |
Katten |
| Mar 11 2019 |
Fifth Circuit Affirms Dismissal of Former VP’s SOX Claim as Unreasonable |
Polsinelli PC |
| Mar 9 2019 |
For Tax-Exempt Employers: 403(b) Retirement Plan Compliance Opportunity |
Sheppard, Mullin, Richter & Hampton LLP |
| Mar 8 2019 |
Council of EU Invites COREPER To Approve Final Compromise Text of EMIR Refit Regulation |
Katten |
| Mar 8 2019 |
Blockchain & Cryptocurrency Newsletter - Winter 2019 |
Greenberg Traurig, LLP |
| Mar 8 2019 |
ESMA Statement on Application of MiFID II, MiFIR and BMR Provisions in No-Deal Brexit |
Katten |
| Mar 8 2019 |
Ninth Circuit Rules Alleged FCPA Violation Cannot Support SOX Claim |
Jackson Lewis P.C. |
| Mar 8 2019 |
With the SEC, Cooperation is Key |
Sheppard, Mullin, Richter & Hampton LLP |
| Mar 8 2019 |
ESMA Publishes Annual Transparency Calculations for 2019/20 Equity and Equity-Like Instruments |
Katten |
| Mar 8 2019 |
What’s In Store For A Fiduciary Standard in 2019 |
Womble Bond Dickinson (US) LLP |
| Mar 7 2019 |
Rescinding Initial Coin Offerings Under California Law |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Mar 6 2019 |
CFPB Sends Letters Inviting Submission of Diversity and Inclusion Self-Assessments |
Ballard Spahr LLP |
| Mar 6 2019 |
SEC Modifies the Submission Deadlines for Filing Form N-PORT Citing Cybersecurity Concerns |
Faegre Drinker |
| Mar 5 2019 |
CFTC Issues $2 Million Whistleblower Award to Individual Whistleblower for Analysis of Market Data |
Proskauer Rose LLP |
| Mar 5 2019 |
Ninth Circuit Holds That Statutes Do Not Constitute “Rules or Regulations of the SEC” for Purposes of Sarbanes-Oxley Act Whistleblower Claims |
Sheppard, Mullin, Richter & Hampton LLP |
