| Jun 27 2014 |
Commodity Futures Trading Commission (CFTC) Extends Relief to Futures Commission Merchants (FCMs) from Certain Commingling Requirements |
Katten |
| Jun 27 2014 |
Securities and Exchange Commission (SEC) Directs Issuers to Comply with Parts of the Conflict Minerals Rule |
Beveridge & Diamond PC |
| Jun 26 2014 |
Security Exchange Commission (SEC) Brings First Dodd-Frank Anti-Retaliation Case |
Proskauer Rose LLP |
| Jun 25 2014 |
A Committee of Fund Manager Personnel May Not Be Able to Provide the Requisite Consent on Behalf of the Fund for a Principal Transaction |
Mintz |
| Jun 25 2014 |
U.S. Supreme Court Decision Gives More Latitude to Defeat Securities Fraud Class Action Lawsuits Prior to Class Certification |
Sheppard, Mullin, Richter & Hampton LLP |
| Jun 24 2014 |
A Quick Glance: The Two Central Holdings from the U.S. Supreme Court’s Decision in Halliburton |
Mintz |
| Jun 24 2014 |
SEC (Securities and Exchange Commission) Brings the First Whistleblower Anti-Retaliation Case |
Proskauer Rose LLP |
| Jun 24 2014 |
Pre-Filing Consultation of SEC Staff Regarding Venezuela Operations May Be Appropriate in Certain Circumstances |
Morgan, Lewis & Bockius LLP |
| Jun 24 2014 |
Supreme Court: Presumption of Reliance Survives in Securities Cases, But Defendants Can Dispute Price Impact at Class Certification |
Proskauer Rose LLP |
| Jun 24 2014 |
SEC Files First Antiretaliation Enforcement Case Against Hedge Fund Advisory Firm |
Faegre Drinker |
| Jun 23 2014 |
Halliburton II: Supreme Court Upholds Basic Presumption |
Morgan, Lewis & Bockius LLP |
| Jun 23 2014 |
NY District Court Confirms “Neither Admit Nor Deny” Settlements Applying Citigroup Factors |
Faegre Drinker |
| Jun 23 2014 |
What Are the Regulators Thinking? Re: Issues Facing Boards of Directors |
Mintz |
| Jun 22 2014 |
Joint Auditing Committee (JAC) Issues Guidance on Futures Commission Merchants (FCM) Financial Information Disclosure Requirements |
Katten |
| Jun 21 2014 |
Delaware Court of Chancery Finds Contract Rate Applies to Post-Judgment Interest |
Katten |
| Jun 21 2014 |
Securities and Exchange Commission (SEC) Releases Guidance on Affiliated Transactions of Series Investment Companies |
Katten |
| Jun 20 2014 |
Securities and Exchange Commission (SEC) Obtains Settlement for Investment Adviser’s Real Estate Investment Fraud |
Katten |
| Jun 20 2014 |
SEC (Securities and Exchange Commission) Announces Major Fines In First Pay-to-Play Enforcement Case |
Covington & Burling LLP |
| Jun 20 2014 |
Possible Offshore Deferrals for Hedge Fund Managers – IRS Confirms That Certain Stock Options and Stock Appreciation Rights Are Exempt Under Section 457A |
Proskauer Rose LLP |
| Jun 20 2014 |
Delaware Court of Chancery Applies Entire Fairness Standard to Going-Private Transaction with a Controlling Stockholder Negotiated by Special Committee and Approved by a Majority of the Minority Stockholders |
Katten |
| Jun 20 2014 |
Current Trends and Risks in the Private Equity Industry |
Sheppard, Mullin, Richter & Hampton LLP |
| Jun 20 2014 |
Securities and Exchange Commission (SEC) to Hold Open Meeting on Cross-Border Security-Based Swap Definitions |
Katten |
| Jun 20 2014 |
Financial Industry Regulatory Authority (FINRA) Proposes to Amend Rule 2360 |
Katten |
| Jun 19 2014 |
Is the Securities and Exchange Commission (SEC) Poised to Bring More Administrative Enforcement Actions In Wake of Insider Trading Trial Court Losses? |
Barnes & Thornburg LLP |
| Jun 19 2014 |
Securities and Exchange Commission (SEC) Municipalities Continuing Disclosure Cooperation Initiative Update |
Dickinson Wright PLLC |
| Jun 17 2014 |
Public Company Boards and Management will be Affected by PCAOB’s New and Amended Auditing Standards Regarding Related Party Transactions |
Morgan, Lewis & Bockius LLP |
| Jun 16 2014 |
Jumpstart Your Startup: Entity Selection and Formation |
von Briesen & Roper, s.c. |
| Jun 16 2014 |
Commissioner Rings Pension Fund Tocsin |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jun 16 2014 |
Beware: Enterprises Facilitating, But Not Operating In, a Cartelized Market Can Be Fined For Participating In the Cartel |
Greenberg Traurig, LLP |
| Jun 13 2014 |
Trading Evidence Barred From Rengan Rajaratnam Trial Re: Insider Trading |
Katten |
| Jun 13 2014 |
Calling All Boards of Directors: Four Recommendations from the SEC (Securities and Exchange Commission) |
Mintz |
| Jun 13 2014 |
Investment Adviser Accused of $8.8 Million Fraud by Securities and Exchange Commission (SEC) |
Katten |
| Jun 13 2014 |
US Marshals Service Announces Auction of Silk Road Bitcoins |
Katten |
| Jun 13 2014 |
SEC Commissioner Kara M. Stein Calls for More Stringent Net Capital Requirements for Broker Dealers |
Katten |
| Jun 12 2014 |
Initial Public Offerings (IPO) on African Stock Exchanges: The Next Trend? |
Covington & Burling LLP |
| Jun 11 2014 |
Reducing the Cost of Foreign Corrupt Practices Act (FCPA) Monitoring |
Barnes & Thornburg LLP |
| Jun 11 2014 |
Directors and Officers (D&O) Insurance and Initial Public Offerings (IPO): Seven Issues You Need to Consider |
Mintz |
| Jun 11 2014 |
Delaware Court Clarifies Director and Officer Liability in Mergers & Acquisitions (M&A) Transactions |
Bracewell LLP |
| Jun 11 2014 |
How A Public Records Act Request Can Be Better Than A Subpoena Duces Tecum |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jun 10 2014 |
Securities and Exchange Commission (SEC) Bans Repeat, Bad-Faith Tipster From Future Submissions |
Proskauer Rose LLP |
| Jun 10 2014 |
Challenges in Requiring High-Frequency Traders to Register as Dealers |
Morgan, Lewis & Bockius LLP |
| Jun 10 2014 |
Five Questions and Answers About the Second Circuit’s SEC v. Citigroup Decision |
Mintz |
| Jun 10 2014 |
The "Inadvertent" Investment Company Trap: Identifying Operating Companies Subject to the Investment Company Act |
Ryley Carlock & Applewhite, A Professional Corporation |
| Jun 10 2014 |
Shareholder Voting Abstentions: Those Who Hold Themselves Apart Seem To Be Getting All The Attention |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jun 9 2014 |
Office of the Comptroller of Currency (OCC) Issues Updated Guidance on Collective Investment Funds |
Morgan, Lewis & Bockius LLP |
| Jun 9 2014 |
Is Your D&O (Directors and Officers) Policy Ready For The Halliburton Decision? |
Mintz |
| Jun 9 2014 |
Hanson v. Berthel Fisher & Co. Fin. Servs Re: California Securities Law - This Ruling Appears To “Unravel The Very Fabric Of The Space-time Continuum” |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jun 9 2014 |
Commodity Futures Trading Commission (CFTC) Extends No-Action Relief for Certain Transaction-Level Requirements for Non-US Swap Dealers |
Katten |
| Jun 9 2014 |
National Futures Association (NFA) Issues Notice Regarding Changes to Form PQR and Form PR |
Katten |
| Jun 8 2014 |
Commodities Futures Trading Commission (CFTC) and Reserve Bank of Australia Sign Memorandum of Understanding Regarding Cross-Border Clearing Organizations |
Katten |
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