| Jul 10 2018 |
Regulation Best Interest Recommendations by Broker-Dealers: Part 3 - Interesting Angles on the DOL’s Fiduciary Rule #97 |
Faegre Drinker |
| Jul 10 2018 |
Third Circuit Affirms Dismissal of SOX Whistleblower Suit |
Proskauer Rose LLP |
| Jul 9 2018 |
SEC Approves Rule Amendments That Expand the Number of Public Companies That Qualify for Smaller Reporting Company Scaled Disclosures |
McDermott Will & Schulte LLP |
| Jul 9 2018 |
SEC’s Amended Definition of “Smaller Reporting Company” Means More Companies Qualify for Scaled Disclosure Requirements |
ArentFox Schiff LLP |
| Jul 9 2018 |
Supreme Court Decides Lucia – But the Saga Continues |
Barnes & Thornburg LLP |
| Jul 5 2018 |
California Federal Court Grants Motion to Compel Arbitration of Dodd-Frank Whistleblower Claim |
Proskauer Rose LLP |
| Jul 5 2018 |
Rule 701 Registration Exemption Eased for Private Issuers, But Beware |
Hunton Andrews Kurth |
| Jul 3 2018 |
If I Report My Company’s Inflated Key Performance Metrics, Can I Qualify for an SEC Whistleblower Reward? |
Zuckerman Law |
| Jul 3 2018 |
SEC Director Makes Groundbreaking Speech about Blockchain Token Sales |
McDermott Will & Schulte LLP |
| Jul 3 2018 |
So What Are The Odds? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jul 2 2018 |
SEC Administrative Law Judges: Key Takeaways and Lingering Questions from Lucia v. SEC |
Vedder Price |
| Jul 2 2018 |
When A Money Laundering Investigation Turns Into a Class Action Complaint: The Latest Round in BofI’s Fight to Put Money Laundering Allegations in the Rearview Mirror |
Ballard Spahr LLP |
| Jun 30 2018 |
SEC Proposes New Approval Process for Certain ETFs |
Katten |
| Jun 30 2018 |
SEC Proposes Amendments to SEC Whistleblower Rules |
Zuckerman Law |
| Jun 29 2018 |
Why Comment On Proposed Regulations? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jun 29 2018 |
SEC Votes in Favor of Proposal to Amend Whistleblower Rules to Comport with U.S. Supreme Court’s Holding in Digital Realty Trust |
Proskauer Rose LLP |
| Jun 28 2018 |
CFPB ends investigation of Zillow |
Ballard Spahr LLP |
| Jun 27 2018 |
You Might Be an Inside Trader If…You Trade on Your Unconfirmed Suspicions of a Cybersecurity Event Prior to Its Public Revelation or Disclosure |
Sheppard, Mullin, Richter & Hampton LLP |
| Jun 27 2018 |
Regulation Best Interest: The SEC’s Responds To The DOL’s Fiduciary Rule |
Sheppard, Mullin, Richter & Hampton LLP |
| Jun 26 2018 |
Lucia v. SEC and the status of FERC ALJs |
Bracewell LLP |
| Jun 26 2018 |
Economic Growth, Regulatory Relief and Consumer Protection Act’s Impact on Investment Management Industry |
Vedder Price |
| Jun 26 2018 |
SEC Proposes FAIR Act Rules to Increase the Availability of Research Reports on Covered Investment Funds |
Vedder Price |
| Jun 26 2018 |
SEC Staff Issues No-Action Letter Permitting Temporary Hold on Disbursement of Redemption Proceeds from Direct-at-Fund Accounts to Protect against Financial Exploitation of Seniors and Other Vulnerable Investors |
Vedder Price |
| Jun 26 2018 |
SEC Whistleblower Cases Resulting in Successful Award Claims |
Zuckerman Law |
| Jun 26 2018 |
Why Round When Truncating Is So Much Easier? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jun 25 2018 |
Regulation Best Interest Recommendations by Broker-Dealers: Part 2- Interesting Angles on the DOL’s Fiduciary Rule #96 |
Faegre Drinker |
| Jun 25 2018 |
SEC Adopts New Rule Providing Optional Internet Availability of Fund Shareholder Reports and Requests Comment on Improving Fund Disclosures and Intermediary Processing Fees |
Vedder Price |
| Jun 25 2018 |
Can I Report A Ponzi Scheme And Receive A SEC Whistleblower Award? |
Zuckerman Law |
| Jun 25 2018 |
Rounding Numbers; Let Me Count The Ways |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jun 24 2018 |
Supreme Court Resolves Constitutionality of SEC’S ALJ Appointments — Now What? |
Squire Patton Boggs (US) LLP |
| Jun 24 2018 |
Supreme Court Update: Lozman v. City of Riviera Beach, Rosales-Mireles v. United States, Chavez-Meza v. United States |
Wiggin and Dana LLP |
| Jun 22 2018 |
Has the SEC Lost Home Court Advantage? |
Ballard Spahr LLP |
| Jun 22 2018 |
Are Digital Asset Transactions Always Securities Offerings? |
K&L Gates LLP |
| Jun 22 2018 |
Conference Report - Blockchain and the Law Towards a Responsible Blockchain Sector |
K&L Gates LLP |
| Jun 21 2018 |
Supreme Court Holds SEC ALJs Must Be Appointed by Agency Heads |
Ogletree, Deakins, Nash, Smoak & Stewart, P.C. |
