| Mar 4 2019 |
Fifth Circuit Affirms Summary Judgment on SOX Whistleblower Claim |
Proskauer Rose LLP |
| Mar 4 2019 |
SEC Staff Provides Relief for Registered Investment Company Boards Regarding Certain In-Person Voting Requirements |
Faegre Drinker |
| Mar 4 2019 |
Bridging the Week by Gary DeWaal: February 25 – March 1 and March 4, 2019 (Appeal Not Appealing; Purported Fraudster Indicted for Fraud) |
Katten |
| Mar 4 2019 |
Come On In, The Water’s Fine: SEC Proposes Expanding “Test-The-Waters” Communications to All Issuers |
McDermott Will & Schulte LLP |
| Mar 1 2019 |
Colorado Digital Token Act Exempts Certain Cryptocurrency Transactions From Colorado Securities Laws |
Greenberg Traurig, LLP |
| Mar 1 2019 |
SEC Proposes To Expand “Test-the-Waters” Reforms to All Issuers |
Katten |
| Mar 1 2019 |
CFTC Decides Not to Appeal the DRW Ruling |
Faegre Drinker |
| Feb 25 2019 |
FinTech Forward: Blockchain, ICOs, and Cryptocurrencies [PODCAST] |
K&L Gates LLP |
| Feb 25 2019 |
Bridging the Week by Gary DeWaal: February 19 – 22 and February 25, 2019 (Spoofer New Trial?; Utility Token?; Capital Rules To Discourage Clearing?) |
Katten |
| Feb 21 2019 |
SEC Penalizes Celebrities For Violating The Securities Act |
IMS Legal Strategies |
| Feb 20 2019 |
The Top Ten Regulatory and Litigation Risks for Private Funds in 2019 |
Proskauer Rose LLP |
| Feb 19 2019 |
SEC to Implement Two Additional Material Event Disclosures |
Dinsmore & Shohl LLP |
| Feb 19 2019 |
Bridging the Weeks by Gary DeWaal: February 4 – February 15 and February 19, 2019 (Cryptosecurities, Cryptocurrencies, Examination Priorities Redux) [Video] |
Katten |
| Feb 19 2019 |
CFTC Divisions Publish Inaugural Exam Priorities |
Faegre Drinker |
| Feb 15 2019 |
ESMA Publishes List of Thresholds Below Which an EU Prospectus Is Not Required |
Katten |
| Feb 15 2019 |
ESAs Publish Final Report on Amendments to the PRIIPs Key Information Document |
Katten |
| Feb 14 2019 |
Petition for Certiorari Asks Supreme Court to Clarify Whether the Federal Securities Laws Carry a Duty to Update |
Mintz |
| Feb 14 2019 |
Good Disclosure of Bad Internal Controls Is Not Enough |
Faegre Drinker |
| Feb 13 2019 |
A Look Back at Key Corporate Governance and Internal Investigations Issues in 2018 |
Jackson Lewis P.C. |
| Feb 11 2019 |
SEC Issues New Guidance on Diversity Disclosure Requirements |
Sheppard, Mullin, Richter & Hampton LLP |
| Feb 11 2019 |
Insider Trading Exposed By Whistleblower Tips and New Technology |
Zuckerman Law |
| Feb 11 2019 |
First Proxy Statements Addressing California's Female Director Quota Law Are Filed |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Feb 9 2019 |
BoE and ESMA Agree No-Deal MoUs on Recognition of UK CCPs and CSDs |
Katten |
| Feb 9 2019 |
Agreement Reached on EMIR Refit Regulation |
Katten |
| Feb 8 2019 |
SEC Issues C&DI on Disclosure of Self-Identified Director Diversity Characteristics |
Katten |
| Feb 8 2019 |
ESMA Publishes Statement on the Impact of a No-Deal Brexit on Its Databases |
Katten |
| Feb 8 2019 |
FCA and PRA Publish Direction on Reporting Private Securitizations Under Securitization Regulation |
Katten |
| Feb 8 2019 |
Board Diversity And Proxy Fraud |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Feb 7 2019 |
Will Regulation "Best Interest" Preempt State Law? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Feb 6 2019 |
How to Report Accounting Fraud and Earn an SEC Whistleblower Award |
Zuckerman Law |
| Feb 6 2019 |
Court Finds Cybersecurity-Related Claims Sufficient in Securities Class Action |
Sheppard, Mullin, Richter & Hampton LLP |
| Feb 5 2019 |
Amendments to Continuing Disclosure Obligations Under Rule 15c2-12 |
Robinson & Cole LLP |
| Feb 5 2019 |
SEC Administrative Proceedings Against Public Companies for Failure to Remediate Material Weaknesses in Internal Control Over Financial Reporting |
Sheppard, Mullin, Richter & Hampton LLP |
| Feb 4 2019 |
ESMA Publishes Q&As and Revised Disclosure Templates for Securitisation Reporting |
Cadwalader, Wickersham & Taft LLP |
| Feb 4 2019 |
Bridging the Week by Gary DeWaal: January 28 – February 1 and February 4, 2019 (Spoofing; SEF Trading; Security Tokens; Bitcoin Sales) [VIDEO] |
Katten |
