| 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 |
| Jun 8 2014 |
New Commodity Futures Trading Commission (CFTC) Commissioners Confirmed; Chairman Sworn In |
Katten |
| Jun 7 2014 |
Delaware Court of Chancery Invalidates Consent Due to Inadequate Disclosures |
Katten |
| Jun 6 2014 |
Eleventh Circuit Upholds Convictions in “Pump-and-Dump” Stock Fraud Scheme |
Katten |
| Jun 6 2014 |
Belated Vindication for the Security and Exchange Commission's Prior Settlement Policy |
Barnes & Thornburg LLP |
| Jun 6 2014 |
Securities and Exchange Commission (SEC) Chair Gives Speech on Equity Market Structure |
Katten |
| Jun 6 2014 |
SEC Charges Investment Advisory Firm and its President for Fraudulently Hiding Account Shortfall |
Vedder Price |
| Jun 6 2014 |
U.S. and EU Initiatives Discussed at 7th Organisation for Economic Cooperation and Development (OECD) |
Covington & Burling LLP |
| Jun 6 2014 |
Second Circuit’s Citigroup Decision Protects SEC’s Discretion in Settling Enforcement Cases |
Mintz |
| Jun 6 2014 |
Second Circuit Vacates Judge Rakoff’s Order Refusing to Approve Citigroup “Neither Admit Nor Deny” Settlement |
Faegre Drinker |
| Jun 6 2014 |
Lawyers are not Gatekeepers: Do You Want Your Lawyer To Be Horatius Or Atticus Finch? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jun 6 2014 |
First SEC Whistleblower Bounty Award of 2014 |
Proskauer Rose LLP |
| Jun 5 2014 |
SEC (Securities and Exchange Commission) Currently Examining Potential Changes To “Accredited Investor” Definition |
Giordano, Halleran & Ciesla, P.C. |
| Jun 4 2014 |
Second Circuit Says District Court Erred In Blocking SEC/Citigroup Settlement |
Bracewell LLP |
| Jun 4 2014 |
“Gatekeepers" Beware: A New Tool of the SEC (Securities and Exchange Commission) |
Barnes & Thornburg LLP |
| Jun 4 2014 |
Oracular Utterances From California’s Civil Code |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jun 3 2014 |
The SEC’s (New) Admissions Policy: Questions and Consequences |
Mintz |
| Jun 2 2014 |
Enforcement Case Shows SEC’s (Securities and Exchange Commission) Increased Focus on Internal Controls |
Morgan, Lewis & Bockius LLP |
| Jun 2 2014 |
Recent Decision Demonstrates Reach of Lawson; Extends SOX (Sarbanes-Oxley) Whistleblower Protections to Employee of a Nonpublic Subsidiary of a Public Issuer |
Faegre Drinker |
| Jun 2 2014 |
Fee Shifting Bylaw Provisions May Face Constitutional Limitation |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| May 30 2014 |
Eleventh Circuit Clarifies Loss Amount Calculation for Securities Fraud Sentencing |
Katten |
| May 30 2014 |
Using Delaware Corporate Bylaws and Charters to Set the Rules for Shareholder Litigation |
Mintz |
| May 28 2014 |
Conscious Parallelism May Justify A Wolf Pack Pill re: Corporate Activist Shareholders |
Covington & Burling LLP |
| May 27 2014 |
Eleventh Circuit Defines “Instrumentalities” of Foreign Government for the Purposes of the Foreign Corrupt Practices Act |
Faegre Drinker |
| May 25 2014 |
Joint Auditing Commission(JAC) Issues Guidance on Margin Funds |
Katten |
| May 25 2014 |
Commodity Futures Trading Commission (CFTC) Issues Its First Ever Whistleblower Award For Tip On Securities Violation |
Tycko & Zavareei LLP |
| May 24 2014 |
CME Launches Website Links for Complaints and Self-Reports |
Katten |
| May 23 2014 |
National Futures Association (NFA) Adopts Fee for Registration Non-Disclosures |
Katten |
| May 23 2014 |
Securities and Exchange Commission (SEC) Chair Highlights Commission’s Accounting Priorities |
Morgan, Lewis & Bockius LLP |
| May 23 2014 |
Second Circuit Clarifies the Limits on The Extraterritorial Application of U.S. Securities Laws |
Bracewell LLP |
| May 23 2014 |
Securities and Exchange Commission (SEC) Brings Lawsuit Against Unregistered Broker Dealer |
Katten |
| May 23 2014 |
Securities and Exchange Commission (SEC) Alleges Fraud from Unregistered Offerings of Oil and Gas Securities |
Katten |
| May 23 2014 |
Delaware Court Rules Nevada Law Governs But Applies Delaware Law |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| May 22 2014 |
First Circuit Affirms District Court’s Exclusion of Event Study as Unreliable Under Daubert |
Sheppard, Mullin, Richter & Hampton LLP |
| May 22 2014 |
Massachusetts State Blue Sky Claims Under the Uniform Securities Act Can Be Won by Sellers, But at a Cost |
Mintz |
| May 22 2014 |
“Instrumentality” Explained: The Eleventh Circuit Interprets the Scope of the FCPA (Foreign Corrupt Practices Act) |
Neal, Gerber & Eisenberg LLP |
| May 22 2014 |
SEC (Securities and Exchange Commission) Continues to Amplify Its Focus on Private Equity Funds |
Faegre Drinker |
| May 22 2014 |
SEC (Securities and Exchange Commission) Denies Enforcement Action Award for Failure to Timely File Claim; Narrowly Defines “Extraordinary Circumstances” Exception |
Proskauer Rose LLP |
| May 22 2014 |
Looking For The List Of Over-the-Counter (OTC) Margin Stocks? You’ll Find It In California’s New LLC Act |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| May 21 2014 |
Three Options for Institutional Investors Pursuing Claims Against Non-U.S. Issuers in the Wake of Morrison and City of Pontiac |
Mintz |
| May 21 2014 |
Are Proper Names In A Language? Re: Corporation Names |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| May 21 2014 |
Commodities Futures Trading Commission (CFTC) Issues First Whistleblower Program Award |
Proskauer Rose LLP |
| May 20 2014 |
Does A Consumer’s Exercise of a Rescission Right Mean that the Loan Is Automatically Rescinded? |
Sheppard, Mullin, Richter & Hampton LLP |
| May 20 2014 |
District Court of Southern Florida to SEC: Seven-Year Investigation a Bit (Too) Long for My Jurisdiction – Enforcement Action Against Alleged Ponzi Schemers Dismissed |
Neal, Gerber & Eisenberg LLP |
| May 20 2014 |
Consumer Futures Trading Commission (CFTC) Announces First Whistleblower Award |
Faegre Drinker |
| May 20 2014 |
Whose Role is it Anyway? Unanswered Questions About Social, Political, or Environmental Corporate Disclosures |
Mintz |
For hourly updates on the latest news about securities/SEC regulations, corporate & business law, compliance and more securities & business law news, be sure to follow our Finance and Securities Law Twitter feed and sign up for complimentary e-news bulletins.
