| Aug 6 2014 |
This Court’s Ruling Puts the Opinion in Auditor’s Internal Control Opinion |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Aug 6 2014 |
FERC Alleges PJM Manipulation by Powhatan |
Bracewell LLP |
| Aug 5 2014 |
Recent SEC Enforcement Action on Internal Control Despite No Other Alleged Violations |
Morgan, Lewis & Bockius LLP |
| Aug 4 2014 |
Does Dodd-Frank Act Protect Whistleblower Who Did Not Report to SEC? |
Jackson Lewis P.C. |
| Aug 4 2014 |
SEC Modifies MCDC Terms: Extends Issuer Deadline to 12/01/2014, Lowers Penalty Cap for Small Underwriters; Recognizes Pre-EMMA Limitations |
Bracewell LLP |
| Aug 4 2014 |
Delaware Amends its General Corporation Law, Limited Liability Company and Limited Partnership Acts |
Michael Best & Friedrich LLP |
| Aug 4 2014 |
New York Federal Court Limits Scope of SEC Disgorgement In Case Involving Failure to Disclose Beneficial Interests |
Mintz |
| Aug 4 2014 |
Amerco Stockholder Proposal Seeks To Ratification Of All Decisions And Actions |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Aug 3 2014 |
Former Chief Operating Officer Settles SEC Fraud Claims - Harbinger Capital Partners LLC |
Katten |
| Aug 1 2014 |
Smith & Wesson Pays $2 Million to Resolve SEC Charges |
Katten |
| Aug 1 2014 |
Shuffleboard, Early Bird Specials, and . . . Whistleblowing? |
Mintz |
| Jul 31 2014 |
Codifying Independent Parent Company Guarantee Practice for Upstream Oil and Gas Transactions: Food for Thought |
Hunton Andrews Kurth |
| Jul 30 2014 |
Studies Provide Useful Data About Restatements Filed by Companies Since 2003 |
Morgan, Lewis & Bockius LLP |
| Jul 30 2014 |
SEC Denies Whistleblower Award Claim for Harbinger-Falcone Recovery |
Proskauer Rose LLP |
| Jul 29 2014 |
SEC Obtains Cease and Desist Order, Fine Regarding Foreign Corrupt Practices Act Violations by Gun Maker |
Jackson Lewis P.C. |
| Jul 29 2014 |
The “Accredited Investor” Question Re: Securities Regulation |
Lewis Roca Rothgerber LLP |
| Jul 29 2014 |
The SEC Has Discovered Its Whistleblower Program |
Steptoe & Johnson PLLC |
| Jul 25 2014 |
SEC Settles Third-Party Insider Trading Claim Against New York Investor Relations Executive |
Katten |
| Jul 25 2014 |
SEC Issues Guidance on Proxy Voting |
Katten |
| Jul 25 2014 |
SEC Approves FINRA Rule Limiting Expungement |
Katten |
| Jul 25 2014 |
Commodity Futures Trading Commission (CFTC) Releases Rule Enforcement Review of ICE Futures U.S. |
Katten |
| Jul 25 2014 |
Institutional Shareholder Services Inc. (ISS) Seeks Input From Constituents for 2015 Compensation and Governance Proxy Guidelines |
Womble Bond Dickinson (US) LLP |
| Jul 24 2014 |
Watchdogs Petition SEC to Strengthen Prohibitions Against Impeding Complaints to SEC |
Proskauer Rose LLP |
| Jul 24 2014 |
SEC Adopts Amendments to Money Market Fund Rules |
Faegre Drinker |
| Jul 24 2014 |
In This California Securities Case, Placement Agent Status Was Better Than Underwriter Status |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jul 23 2014 |
Bitcoin – Is Anyone In Charge? |
Barnes & Thornburg LLP |
| Jul 23 2014 |
Citigroup Settles with DOJ for $7 Billion |
Bilzin Sumberg |
| Jul 23 2014 |
Facebook/Oculus VR (Virtual Reality) Acquisition Raises Pseudo-Foreign Corporation Question |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jul 22 2014 |
SEC Fulfills Promise to Bring Whistleblower Retaliation Actions under Dodd-Frank Act |
Jackson Lewis P.C. |
| Jul 22 2014 |
Public Company Accounting Oversight Board (PCAOB) Focuses on Cybersecurity at Standing Advisory Group Meeting |
Morgan, Lewis & Bockius LLP |
| Jul 22 2014 |
SEC Staff Issues Guidance on Verifying Accredited Investor Status |
Hunton Andrews Kurth |
| Jul 22 2014 |
International Securities Exchange, LLC v. Chicago Board Options Exchange, Incorporated, Decision Granting Additional Discovery IPR2014-00097, 98 |
Faegre Drinker |
| Jul 21 2014 |
Reader Responds to Recent Law Judge Blog Post on the SEC and the Increase in ALJs |
Barnes & Thornburg LLP |
| Jul 18 2014 |
Commodity Futures Trading Commission (CFTC) Seeks Comment on ICE Clear Europe Portfolio Margining Proposal |
Katten |
| Jul 18 2014 |
Federal Deposit Insurance Corporation (FDIC) Proposes Changes to Assessments Rule |
Katten |
| Jul 18 2014 |
Ninth Circuit Defines Vicarious Liability Standard Under the Telephone Consumer Protection Act (TCPA) |
Katten |
| Jul 18 2014 |
New York Department of Financial Services Proposes First Comprehensive Regulatory Framework for Virtual Currency Businesses |
Katten |
| Jul 18 2014 |
Financial Industry Regulatory Authority (FINRA) Proposes to Adopt Rules on Quotation Requirements for Over-the-Counter Equity Securities |
Katten |
| Jul 18 2014 |
Securities and Exchange Commission (SEC) Adopts First Installment of Rules for Cross-Border Security-Based Swap Activity |
Katten |
| Jul 17 2014 |
SEC Clarifies Certain Proxy Voting Responsibilities of Investment Advisers and Availability of Exemptions from Proxy Rules for Proxy Advisory Firms |
Faegre Drinker |
| Jul 17 2014 |
The Volcker Rule – The Conformance Period is Approaching |
Michael Best & Friedrich LLP |
| Jul 16 2014 |
The Gabelli Effect: How the Supreme Court’s Decision Is Impacting Enforcement Actions |
Barnes & Thornburg LLP |
| Jul 16 2014 |
Plan Sponsors' Decision to Change Form of Employer Contributions Not A Fiduciary Function |
Proskauer Rose LLP |
| Jul 15 2014 |
Recent Amendments to Mexican Commercial Laws |
Greenberg Traurig, LLP |
| Jul 15 2014 |
SEC Focuses on Burgeoning Liquid Alternative Funds Market |
Katten |
| Jul 15 2014 |
Texas Supreme Court Rejects a General Cause of Action for Minority Shareholder Oppression |
Bracewell LLP |
| Jul 15 2014 |
The Consumer Financial Protection Bureau (CFPB), Recent Developments: June 16, 2014 - June 20, 2014 |
Greenberg Traurig, LLP |
| Jul 15 2014 |
Financial Accounting Standards Board (FASB) Works on Projects to Help Investors and Preparers |
Morgan, Lewis & Bockius LLP |
| Jul 14 2014 |
Big Banks Argue that Shorter Limitations Period Should Apply to MBS (Mortgage Backed Securities) Claims |
Bilzin Sumberg |
| Jul 14 2014 |
The SEC Provides Guidance on Custody Rule Compliance for Private Fund Special Purpose Vehicles (SPVs) and Escrow Accounts |
Faegre Drinker |
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