| Oct 17 2014 |
The Point Of An Unenforceable Noncompete May Be Very Sharp Indeed |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 16 2014 |
SDNY Dismisses Extraterritorial SOX and Dodd-Frank Whistleblower Claims |
Proskauer Rose LLP |
| Oct 16 2014 |
The SEC's Municipalities Continuing Disclosure Cooperation (MCDC) Initiative: Where To Go from Here |
Katten |
| Oct 16 2014 |
Why Including The Year Of Enactment Can Be Important in California |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 15 2014 |
Why The SEC Should Stay Out Of The Fee-Shifting Charter Debate |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 15 2014 |
Managing Compliance Risks in M&A Transactions |
McDermott Will & Emery |
| Oct 14 2014 |
You’ve Acquired a New Qualified Retirement Plan? Time for a Compliance Check |
McDermott Will & Emery |
| Oct 13 2014 |
Realities of Phantom Stock and SAR’s (Stock Appreciation Rights) |
Odin, Feldman & Pittleman, P.C. |
| Oct 13 2014 |
Bridging the Week: October 6 to 10 and 13, 2014 [VIDEO] |
Katten |
| Oct 13 2014 |
SEC Administrative Law Judges Face Free Enterprise Challenge |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 10 2014 |
Fifth Circuit Holds Multiple Disclosures Establish Loss Causation in Securities Action |
Katten |
| Oct 10 2014 |
District Court Dismisses Securities Class Action for Failure to Show Causal Connection |
Katten |
| Oct 10 2014 |
SEC Issues Risk Alert and FAQs on Customer Sales of Unregistered Securities |
Katten |
| Oct 10 2014 |
European Securities and Markets Authority (ESMA) Clearing Obligations for Foreign-exchange Non-deliverable Forwards (FX NDF) and IRS |
Katten |
| Oct 10 2014 |
SEC Division of Corporation Finance Issues New C&DI Related to Rule 147 and Website/Social Media Use |
Katten |
| Oct 10 2014 |
Director of SEC Division of Corporation Finance Gives Speech on Securities Disclosure |
Katten |
| Oct 10 2014 |
Financial Industry Regulatory Authority (FINRA) Proposes to Extend Tier Size Pilot for OTC Equity Securities |
Katten |
| Oct 10 2014 |
Is A “Rule” An “Order” And Why Would Anyone Care? Re: SEC Anti-"Pay-to-Play" |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 9 2014 |
Beyond the Checklist: Seven Keys to Effective Trade Due Diligence |
Sheppard, Mullin, Richter & Hampton LLP |
| Oct 9 2014 |
D.C. Bill Ostensibly Lowers Tax on Capital Gains from Qualified High Technology Company (QHTC) Investments… But How? |
McDermott Will & Emery |
| Oct 9 2014 |
Why Does Determining A California Quorum Have To Be So Complicated? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 8 2014 |
Hybrid Plan Regulations Could Reinvigorate the Defined Benefit Plan System |
Covington & Burling LLP |
| Oct 8 2014 |
Inversion Transactions Addressed in Treasury Notice |
Covington & Burling LLP |
| Oct 8 2014 |
Quantitative Easing: Who is the Federal Reserve Appeasing? |
Bilzin Sumberg |
| Oct 8 2014 |
California Court Of Appeal Embraces De Facto LLC Dissolution |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 8 2014 |
Commodities Futures Trading Commission (CFTC) Removes Big Obstacle to Hedge Fund Advertising |
Greenberg Traurig, LLP |
| Oct 8 2014 |
SEC Announces Enforcement Actions Against Public Companies and Corporate Insiders Based on Failure to Timely File Transaction Reports |
Greenberg Traurig, LLP |
| Oct 8 2014 |
SEC Charges Investment Advisory Firm with Failure to Disclose Conflict of Interest to Clients |
Vedder Price |
| Oct 7 2014 |
SEC Settles Multiple Enforcement Actions for Failure to Timely File Reports of Beneficial Ownership |
Vedder Price |
| Oct 7 2014 |
Search Funds: Catering to Canadian Investors |
McDermott Will & Emery |
| Oct 7 2014 |
SEC Settles Charges Against Investment Advisory Firm for Undisclosed Principal Transactions and Misleading Performance Advertisements |
Vedder Price |
| Oct 7 2014 |
SEC Includes Valuation Guidance in Money Market Fund Rule Release |
Vedder Price |
| Oct 7 2014 |
SEC Settles Charges Against Barclays Capital for Compliance Failures After Acquisition of Lehman’s Advisory Business |
Vedder Price |
| Oct 7 2014 |
Supreme Court to Review Application of ERISA’s Six-Year Statute of Limitations in Tibble v. Edison Int’l. |
McDermott Will & Emery |
| Oct 6 2014 |
Legend Removal Requires Proper “Request To Register Transfer” Re: Securities |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 5 2014 |
Commodity Future Trading Commission (CFTC) and National Futures Association (NFA) Require Swap Dealer (SD) and Major Swap Participants (MSP) Risk Exposure Reports to Be Submitted Through WinJammer |
Katten |
| Oct 4 2014 |
Securities Exchange Commission (SEC) Settles Insider Trading Case, Finding Roommate Relationship Created Duty of Trust and Confidence |
Katten |
| Oct 4 2014 |
Financial Conduct Authority (FCA) Updates Its Alternative Investment Fund Managers Directive (AIFMD) Reporting Webpage |
Katten |
| Oct 4 2014 |
Institutional Shareholder Services (ISS) Publishes Results of Annual Global Voting Policy Survey |
Katten |
| Oct 3 2014 |
Commodity Futures Trading Commission (CFTC) Extends Relief for Swap Execution Facilities (SEF)s and Designated Contract Markets (DCM)s from Straight-Through Processing Requirements for Package Transactions |
Katten |
| Oct 3 2014 |
National Futures Association (NFA) Issues Notice Regarding Commodity Pool Operators (CPO) and Commodity Trading Advisors (CTA) Reports and Filing Requirements |
Katten |
| Oct 3 2014 |
Commodity Futures Trading Commission (CFTC) Settles Fraudulent Trading Violations with Forex Trader |
Katten |
| Oct 3 2014 |
Attorney-Client Privilege No Shield to Stockholder’s Demand for Internal Review Documents, Delaware High Court Rules |
Jackson Lewis P.C. |
| Oct 3 2014 |
Commodites Futures Trading Commission (CFTC) Extends Relief to Derivatives Clearing Organizations (DCO) and Their Clearing Members from Requirements for Credit Default Swaps (CDS) Clearing-Related Swaps |
Katten |
| Oct 3 2014 |
European Securities and Markets Authority (ESMA) Consults on Draft Guidelines Clarifying the Definition of “Derivatives” Under Markets in Financial Instruments Directive (MiFID) |
Katten |
| Oct 3 2014 |
Financial Industry Regulatory Authority, Inc (FINRA) Requests Comment on a Rule Proposal to Implement the Comprehensive Automated Risk Data System |
Katten |
| Oct 3 2014 |
New California Law Aims At Clarifying Status Of Ex Officio Directors |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 3 2014 |
Fiduciary Access to Digital Assets and Accounts - Uniform Fiduciary Access to Digital Assets Act “UFADAA” |
Proskauer Rose LLP |
| Oct 3 2014 |
New EU Competition Commissioner’s Priorities For 2014-2019: Hearing Before The European Parliament |
McDermott Will & Emery |
| Oct 2 2014 |
Public Company Accounting Oversight Board (PCAOB)’s Standard-Setting Agenda: No New Adoptions of Substantive Audit Standards |
Morgan, Lewis & Bockius LLP |
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