| Feb 1 2019 |
Postponement of Margin Rules for Covered Agency Transactions Under FINRA Rule 4210 |
Katten |
| Feb 1 2019 |
ESMA Updates Q&As Relating to the Benchmarks Regulation |
Katten |
| Feb 1 2019 |
ESMA Publishes Statement on Clearing and Trading Obligations for Small Financial Counterparties |
Katten |
| Feb 1 2019 |
Expansion of Regulation A to Reporting Companies: Increased Alternatives Now Available to Public Companies Seeking to Raise Capital or for Mergers and Acquisitions |
Sheppard, Mullin, Richter & Hampton LLP |
| Jan 30 2019 |
Investment Services Regulatory Update: January 2019 |
Vedder Price |
| Jan 29 2019 |
Class Size Doesn’t Matter—Seventh Circuit Holds That Federal Law Bars Private Securities Class Actions Brought Under State Law Regardless of the Number of Putative Class Members |
Sheppard, Mullin, Richter & Hampton LLP |
| Jan 29 2019 |
Preparation for 2018 Fiscal Year-End SEC Filings and 2019 Annual Shareholder Meetings |
Mintz |
| Jan 28 2019 |
A Review of Recent Whistleblower Developments:January 2019 |
Foley & Lardner LLP |
| Jan 26 2019 |
California Court of Appeal Enforces Delaware Forum Selection Bylaw |
Sheppard, Mullin, Richter & Hampton LLP |
| Jan 25 2019 |
FINRA Releases 2019 Annual Risk Monitoring and Examination Priorities Letter |
Katten |
| Jan 25 2019 |
ESMA Publishes Opinion on Position Limits on ICE Low Sulphur Gasoil Futures and Options Commodity Contracts |
Katten |
| Jan 25 2019 |
ESMA Updates MiFID II Transitional Transparency Calculations for Electricity Derivatives |
Katten |
| Jan 25 2019 |
Will The Federal Shutdown Have Implications For Commercial Litigation? |
IMS Legal Strategies |
| Jan 24 2019 |
First Appellate Decision Holds that SEC Can Bring Extraterritorial Enforcement Action Based on Conduct or Effects in United States |
Proskauer Rose LLP |
| Jan 24 2019 |
The Impact of the Government Shutdown on S.E.C. Enforcement |
Sheppard, Mullin, Richter & Hampton LLP |
| Jan 24 2019 |
Investment Management Legal and Regulatory Update - January 2019 |
Godfrey & Kahn S.C. |
| Jan 23 2019 |
Charges Connected to Hack of SEC’s EDGAR System Discussed in SECurities and Law Perspectives |
Faegre Drinker |
| Jan 23 2019 |
SEC Enforcement Action Demonstrates That Timing Is Everything |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jan 22 2019 |
DOJ and SEC Announce Charges Connected to Hack of SEC’s EDGAR System |
Faegre Drinker |
| Jan 22 2019 |
Bridging the Week by Gary DeWaal: January 14 – 18 and January 22, 2019 (Hacking at the SEC; Digital Assets; Spoofing) [Video] |
Katten |
| Jan 22 2019 |
Does Voluntary Disclosure Reduce Or Increase Litigation Risk? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jan 18 2019 |
The Effects Of The SEC Shutdown On The Capital Markets |
Sheppard, Mullin, Richter & Hampton LLP |
| Jan 18 2019 |
SEC Amendments to Streamline and Simplify Disclosure Requirements |
Jones Walker LLP |
| Jan 18 2019 |
SEC and New Jersey US Attorney’s Office Bring Parallel Charges in EDGAR Hacking Scheme |
Katten |
| Jan 17 2019 |
Delaware Chancery Court Holds Corporations Cannot Enact Federal Forum Provisions To Bypass Cyan and Preclude State Courts from Hearing Securities Act Claims |
Mintz |
| Jan 17 2019 |
Securities Group News: A Refresher (and update) On Data Privacy Requirements for Investment Advisors in the Commonwealth |
Murtha Cullina |
| Jan 16 2019 |
Capital Markets & Public Companies Quarterly - January 16, 2019: Reminders for the Form 10-K and Proxy Statement, Cyber-Related Frauds Report, Staff Legal Bulletin 14J and Updates to Proxy Voting Guidelines |
McDermott Will & Schulte LLP |
| Jan 16 2019 |
Is It Deceptive To Lie To A Machine? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jan 15 2019 |
Regulation A May Prove Useful Alternative to Form S-4 Registration for Public Companies Doing Smaller M&A Deals |
Sheppard, Mullin, Richter & Hampton LLP |
| Jan 14 2019 |
Delaware Court of Chancery Declares Ineffective Exclusive Federal Forum Provision for 1933 Act Claims |
Sheppard, Mullin, Richter & Hampton LLP |
| Jan 14 2019 |
SEC’s Office of Compliance Inspections and Examinations Releases 2019 Examination Priorities |
Greenberg Traurig, LLP |
| Jan 14 2019 |
A Proxy Season Guide to 2019 |
Dinsmore & Shohl LLP |
| Jan 14 2019 |
Commentaries Bridging the Week by Gary DeWaal: January 7 – 11 and January 14, 2019 (Freedom of Speech; Cryptoasset Regulation Gaps; Cybersecurity) |
Katten |
| Jan 13 2019 |
NFA Amends Interpretive Notice Regarding ISSPs |
Katten |
| Jan 12 2019 |
ESMA Releases Latest (January 9, 2019) Double Volume Cap Data Under MiFID II |
Katten |
