| Sep 30 2014 |
California Governor Signs Bill Narrowing Grounds for Business Entity Reinstatement |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Sep 29 2014 |
SEC’s “Gatekeeper” Enforcement Initiative Impacts Directors |
Faegre Drinker |
| Sep 29 2014 |
Can Regulation A+ Deliver on JOBS Act Capital Efficiency Promises? |
Faegre Drinker |
| Sep 29 2014 |
The “Bad Actor” Rule: SEC and Dodd-Frank Act |
Faegre Drinker |
| Sep 29 2014 |
SEC Awards $30 Million to Overseas Whistleblower |
Mintz |
| Sep 29 2014 |
1, 2 or 3 Years? How Should Boards Decide The Frequency Of Say-On-Pay Votes? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Sep 28 2014 |
London Metal Exchange Provides Revised Guidance on Structure, Terminology and Order Execution |
Katten |
| Sep 27 2014 |
Update on ESMA Clearing Obligations for Credit Default Swaps - European Securities and Markets Authority |
Katten |
| Sep 27 2014 |
ESOP 101: 4 Tips for Business Owners |
U.S. Department of Labor |
| Sep 26 2014 |
Organisation of Economic Co-operation and Development (OECD) Publishes Initial Recommendations on BEPS (Base Erosion and Profit Sharing) |
Katten |
| Sep 26 2014 |
SEC Obtains Asset Freeze of Turks and Caicos Company Conducting Ponzi Scheme |
Katten |
| Sep 26 2014 |
Shareholder Activism: An Overview from the Company Perspective |
Mintz |
| Sep 26 2014 |
SEC Releases Strategic Plan for 2014–2018 |
Katten |
| Sep 25 2014 |
SEC Announces Record Whistleblower Award Of Over $30 Million |
Jackson Lewis P.C. |
| Sep 25 2014 |
Further Changes to Form CPO-PQR and Form CTA-PR - Commodity Pool Operators |
Vedder Price |
| Sep 25 2014 |
Potential CPO (Commodity Pool Operator) and CTA (Commodity Trading Advisor) Registration Relief for Registered Investment Companies |
Vedder Price |
| Sep 25 2014 |
New CME Rule 575 on Disruptive Trading Practices - Chicago Mercantile Exchange, Chicago Board of Trade, New York Mercantile Exchange and Commodity Exchange, Inc. |
Vedder Price |
| Sep 25 2014 |
Form CPO-PQR Relief for CPOs (Commodity Pool Operators) to Certain Exempt or Excluded Pools |
Vedder Price |
| Sep 24 2014 |
CFTC Relief to Use Additional Third-Party Recordkeepers |
Vedder Price |
| Sep 24 2014 |
Commodity Pool Operator (CPO) Reporting Relief for a Parent Pool and Its Trading Subsidiary |
Vedder Price |
| Sep 24 2014 |
More Swaps Margin Rules; Manipulation Settlement; HFT Capital Violation; FX Futures Block Thresholds; Eating Evidence - Bridging the Week: September 15 to 19 and 22, 2014 [VIDEO] |
Katten |
| Sep 24 2014 |
CFTC Relief from Provisions of Rules 4.7(b) and 4.13(a)(3) to Harmonize with JOBS Act Amendments to Rule 506(c) and Rule 144A |
Vedder Price |
| Sep 24 2014 |
Transcorp Hotel’s $48.8M IPO Shows Nigeria Remains Leading Choice for Hotel Industry Investments |
Covington & Burling LLP |
| Sep 23 2014 |
Compliance Officers’ Liability When Engaging and Remediating Problems at Investment Management Firms |
Sheppard, Mullin, Richter & Hampton LLP |
| Sep 23 2014 |
SEC Announces $30 Million-Plus Whistleblower Award |
Proskauer Rose LLP |
| Sep 23 2014 |
Dodd-Frank Whistleblower Activity Getting Even Hotter |
Barnes & Thornburg LLP |
| Sep 23 2014 |
SEC Announces Record Whistleblower Award |
Greenberg Traurig, LLP |
| Sep 23 2014 |
Oxfam America Takes A Stand, But Does It Have Standing? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Sep 22 2014 |
Second Circuit Holds Forum Selection Clause Supersedes FINRA’s Mandatory Arbitration Rule |
Sheppard, Mullin, Richter & Hampton LLP |
| Sep 22 2014 |
Top 10 Tips For Qui Tam Whistleblowers |
Tycko & Zavareei LLP |
| Sep 22 2014 |
Recent SEC Enforcement Actions Highlight Risks of Failing to Timely File Reports of Beneficial Ownership |
Vedder Price |
| Sep 22 2014 |
SEC Advisory Committee To Consider Fee-Shifting Bylaws, But Why? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Sep 21 2014 |
Financial Industry Regulatory Authority (FINRA) Revises Proposal to Adopt Consolidated FINRA Rule 2231 |
Katten |
| Sep 21 2014 |
Commodity Futures Trading Commission (CFTC) Proposes Margin Rules for Uncleared Swaps |
Katten |
| Sep 20 2014 |
D.C. Judge Rules in Favor of CFTC on Cross-Border Application of Dodd-Frank Rules |
Katten |
| Sep 19 2014 |
Council of Institutional Investors Issues Report on Board Evaluation Disclosure |
Katten |
| Sep 19 2014 |
Delaware Court Denies Dismissal for Disinterested Directors When Entire Fairness Applies |
Katten |
| Sep 19 2014 |
North American Securities Administrators Association (NASAA): State Securities Regulators’ Views on Top Emerging Enforcement Issues |
Barnes & Thornburg LLP |
| Sep 19 2014 |
Department of Defense Contractors Agree to Pay the U.S. Government $5.5 Million for Allegedly Supplying the Military with Low-Grade Batteries for Humvee Gun Turrets Used in Iraq; Minnesota Whistleblower to Receive $990,000 |
Tycko & Zavareei LLP |
| Sep 18 2014 |
SEC Targets Corporate Insiders for Failing to Promptly Disclose Stock Transactions |
Morgan, Lewis & Bockius LLP |
| Sep 18 2014 |
Larger Rewards For Wall Street Whistleblowers May Be On The Horizon |
Proskauer Rose LLP |
| Sep 18 2014 |
Steps to Becoming a Broker Dealer |
Greenberg Traurig, LLP |
| Sep 18 2014 |
Oxfam America Sues The SEC (Again) For Dilatory Rule Making |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Sep 17 2014 |
Public Company Accounting Oversight Board (PCAOB) Urges Audit Committee Scrutiny of Revenue Recognition |
Morgan, Lewis & Bockius LLP |
| Sep 17 2014 |
SEC’s Broken Window Enforcement Program Gets a Boost from “Quantitative Analytics” and “Algorithms” |
Faegre Drinker |
| Sep 16 2014 |
What is FINRA? - Financial Industry Regulatory Authority, Inc. |
Greenberg Traurig, LLP |
| Sep 15 2014 |
M&A Broker Exemption Bill Resurrects Financial Statement Replaced in 1988 |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Sep 14 2014 |
UK Court Decision Demonstrates Importance of Compliance With ISDA Market Quotation Procedures |
Katten |
| Sep 14 2014 |
AIFMD: Additional Alternative Investment Fund (AIF) Data Request by FCA |
Katten |
| Sep 13 2014 |
Federal Reserve and Consumer Financial Protection Bureau (CFPB) Announce Increases in Dollar Thresholds in Regulations Z and M for Exempt Consumer Credit and Lease Transactions |
Katten |
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