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 |
Sep 13 2014 |
Investment Management Firm Discloses Wells Notice from the SEC Over Performance Claims |
Katten |
Sep 13 2014 |
Commodity Futures Trading Commission (CFTC) Aligns CPO Regulation With JOBS Act, Provides Other Guidance for CPOs |
Katten |
Sep 13 2014 |
First Bitcoin Swap Proposed |
Katten |
Sep 12 2014 |
Foreign Account Tax Compliance Act (FATCA) for Private Funds: Key Considerations |
Vedder Price |
Sep 12 2014 |
Chicago Board Options Exchange (CBOE) and C2 in Discussions with FINRA for Regulatory Services |
Katten |
Sep 12 2014 |
Financial Industry Regulatory Authority (FINRA) Board to Consider Rule Proposals Regarding Private Trading Platforms |
Katten |
Sep 12 2014 |
An Introduction to Revenue Participation Financing |
Michael Best & Friedrich LLP |
Sep 12 2014 |
SEC Uses Data Analytics to Identify and Punish Late Form Filers |
Mintz |
Sep 12 2014 |
CFTC (Commodity Futures Trading Commission) Removes Hurdle from JOBS Act Advertising |
Faegre Drinker |
Sep 11 2014 |
Cybersecurity: Litigation, Crime & Enforcement-September, 2014 |
Faegre Drinker |
Sep 11 2014 |
SEC Shamelessly Targets Late Filers |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Sep 10 2014 |
SEC Money Market Reform: An Analysis of Fund Director Responsibilities |
Faegre Drinker |
Sep 10 2014 |
Wisconsin District Court Grants Summary Judgment and Dismisses Case Regarding Insider Trading Prohibitions and Mutual Fund Redemptions |
Vedder Price |
Sep 10 2014 |
New Money Market Fund Rules Require Review by Retirement Plan Sponsors |
McDermott Will & Emery |
Sep 9 2014 |
SEC Division of Investment Management Issues Guidance Regarding Enhanced Mutual Fund Disclosure |
Vedder Price |
Sep 9 2014 |
Financial Crimes Enforcement Network Proposes Anti-Money Laundering Rules |
Vedder Price |
Sep 9 2014 |
Delaware Court of Chancery Upholds North Carolina Forum Selection Bylaw for Delaware Corporation |
Mintz |
Sep 9 2014 |
NASDAQ Proposes The Adoption Of A New All-Inclusive Annual Listing Fee |
Sheppard, Mullin, Richter & Hampton LLP |
Sep 9 2014 |
SEC Proposes Extending Temporary Rule Regarding Adviser Principal Trades |
Vedder Price |
Sep 8 2014 |
Second Circuit Affirms No Extraterritorial Application For Dodd-Frank Anti-Retaliation Provision |
Proskauer Rose LLP |
Sep 8 2014 |
CME Group Adopts New Disruptive Trading Practices Rule |
Katten |
Sep 8 2014 |
J.P. Morgan’s $4.6 Billion in Legal Reserves |
Bilzin Sumberg |
Sep 6 2014 |
SEC Decreases Registration Statement Filing Fees for Fiscal Year 2015 |
Katten |
Sep 5 2014 |
US Banking Regulators Propose Margin Requirements for Uncleared Swaps |
Katten |
Sep 5 2014 |
SEC Adopts Regulation AB II: Disclosure and Reporting Requirements for Asset-backed Securities |
Katten |
Sep 5 2014 |
When a California Corporation Dissolves, Do the Directors Become Zombies? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Sep 5 2014 |
Foreign Corrupt Practices Act – Keeping the Wolf At Bay |
Barnes & Thornburg LLP |
Sep 4 2014 |
Former Analyst Claims Moody’s Falsely Inflated Ratings for Mortgage-backed Securities |
Bilzin Sumberg |
Sep 4 2014 |
Second Circuit Defines “Customer” for Mandatory FINRA Arbitration |
Sheppard, Mullin, Richter & Hampton LLP |
Sep 4 2014 |
Second Circuit Decision Provides Guidance for Drafting Enforceable Broker-Dealer Agreement Forum Selection Clause |
Katten |
Sep 4 2014 |
SEC Commissioner’s Dissent May Signal Harsher Sanctions Against Accountants |
Faegre Drinker |
Sep 4 2014 |
High Yield Debt and the Decrease in Bankruptcy Filings |
Bilzin Sumberg |
Sep 3 2014 |
SEC Gives $300,000 Whistleblower Award to Audit and Compliance Employee |
Mintz |
Sep 3 2014 |
Federal Prosecutors: The New Architects Of Corporate Governance |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Sep 3 2014 |
Is China Becoming Less Attractive to Foreign Investment? |
Covington & Burling LLP |
Sep 2 2014 |
What Does Delaware’s Wal-Mart Decision Mean for the Attorney-Client Privilege and Internal Investigations? |
Mintz |