| Apr 14 2014 |
SEC (Securities and Exchange Commission) Staff Releases Compliance and Disclosure Interpretations Related to Intrastate Crowdfunding |
Godfrey & Kahn S.C. |
| Apr 14 2014 |
American Icon Amends Stock Plan To Make It Section 25102(o) Eligible – Why? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Apr 12 2014 |
Banking Agencies Adopt Enhanced Supplementary Leverage Ratio Final Rule |
Katten |
| Apr 11 2014 |
SEC (Securities and Exchange Commission) Obtains Settlement for Violations of Registration Rules and “Layering” |
Katten |
| Apr 11 2014 |
U.S. Supreme Court Subjects Certain Employment Termination Payments to FICA (Federal Insurance Contributions Act) Tax |
Greenberg Traurig, LLP |
| Apr 11 2014 |
CFTC (Commodity Futures and Trading Commission) Reissues and Clarifies Relief Regarding Swaps Trading on MTFs (Multilateral Trading Facilities) |
Katten |
| Apr 11 2014 |
SEC (Securities and Exchange Commission) Issues Frequently Asked Questions Regarding the Amendments to the Broker-Dealer Reporting Rule |
Katten |
| Apr 11 2014 |
SEC (Securities and Exchange Commission) Issues New FAQs on Conflict Minerals |
Katten |
| Apr 11 2014 |
SEC (Securities and Exchange Commission) Introduces Continuing Disclosure Cooperation Initiative |
Hunton Andrews Kurth |
| Apr 11 2014 |
SEC (Securities and Exchange Commission) Establishes Dedicated Group to Focus on Private Funds |
Faegre Drinker |
| Apr 11 2014 |
And You Thought Dissenters’ Rights Didn’t Apply To Delaware LLCs (Limited Liability Corporations) |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Apr 10 2014 |
Co-Owner of an Unregistered New Jersey Brokerage Firm Settles “Spoofing” Charges |
Faegre Drinker |
| Apr 9 2014 |
Securities and Exchange Commission (SEC) Creates Team to Examine Private Equity and Hedge Funds |
Barnes & Thornburg LLP |
| Apr 9 2014 |
SEC Steps Up Scrutiny of Municipal Bonds: Recently Filed Enforcement Actions |
Mintz |
| Apr 9 2014 |
U.S. Supreme Court Extends Sarbanes-Oxley Whistleblower Protection |
Vedder Price |
| Apr 8 2014 |
Securities and Exchange Commission (SEC) Staff Member Discusses Planned Sweep Examination of Alternative Funds |
Vedder Price |
| Apr 8 2014 |
Quarterly Whistleblower Award Update |
Faegre Drinker |
| Apr 8 2014 |
Division of Investment Management Issues Guidance Regarding Aggregate Advisory Fee Rates for Multi-Manager Funds |
Vedder Price |
| Apr 8 2014 |
First-Ever Securities and Exchange Commission (SEC) Bounty Winner Receives Additional Payout |
Proskauer Rose LLP |
| Apr 8 2014 |
California Bill Aims To Exempt Venture Capital Company Equity Security Investments From Lenders Law |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Apr 7 2014 |
Sixth Circuit Affirms Dismissal of Securities Class Action for Failure to Properly Plead Scienter |
Katten |
| Apr 5 2014 |
SEC (Securities and Exchange Commission) Requests Comment on FINRA (Financial Industry Regulatory Authority) Rules |
Katten |
| Apr 4 2014 |
The Organization for Economic Co-operation and Development's (OECD) Base Erosion and Profit Shifting (BEPS) Project – A UK update (Part I) |
McDermott Will & Emery |
| Apr 4 2014 |
SEC (Securities and Exchange Commission) Commissioner Offers Views on SASB (Sustainability Accounting Standards Board) |
Morgan, Lewis & Bockius LLP |
| Apr 4 2014 |
Appropriate Cautionary Language Leads to Dismissal of Investor’s Securities Fraud Suit |
Katten |
| Apr 4 2014 |
OTC (Over the Counter) Derivatives Regulators Group Issues Report to G20 |
Katten |
| Apr 4 2014 |
The Burdens And Standards Of Proof And Review |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Apr 3 2014 |
Arbitration Agreements and Whistleblower Protections |
Faegre Drinker |
| Apr 3 2014 |
Securities and Exchange Commission (SEC) Enforcement Staff’s Investigations of Financially Stressed Municipal Issuers |
Mintz |
| Apr 3 2014 |
An Upside to Parallel Civil and Criminal Investigations? Criminal Authorities May Have to Disclose Exculpatory Information in the Possession of the Civil Agency |
Faegre Drinker |
| Apr 3 2014 |
SEC v. Jacobs May Signal Limit to Duty of Trust or Confidence Required to Prove Insider Trading Based on Misappropriation Theory - Securities and Exchange Commission |
Faegre Drinker |
| Apr 3 2014 |
“Neither Admit nor Deny” Settlements at the SEC (Securities and Exchange Commission) |
Faegre Drinker |
| Apr 3 2014 |
Just How Binding Are SEC Statements In An Adopting Release? - Securities and Exchange Commission |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Apr 3 2014 |
Lawson and Doral Expand Whistleblower Protections |
Faegre Drinker |
| Apr 2 2014 |
Foreign LLCs Take Note: This California Legislative Oversight May Affect You Too |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Apr 1 2014 |
Massachusetts Supreme Judicial Court (SJC) Rules on Fiduciary Duties Owed to and By Shareholder-Employee in Closely Held Corporation |
Mintz |
| Apr 1 2014 |
Texas District Court Cites Recent “Evolution” of Rule 23 Standards to Deny Class Certification Motion in Securities Action Based Upon Allegedly Misleading Registration Statement |
Sheppard, Mullin, Richter & Hampton LLP |
| Apr 1 2014 |
Financial Accounting Standards Board (FASB) to Modify Going Concern Proposal |
Morgan, Lewis & Bockius LLP |
| Apr 1 2014 |
9th Circuit Holds Issuer Is Investment Bank’s “Customer” And “Actions and Proceedings” Include Arbitrations |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Mar 31 2014 |
Update: Cybersecurity and Internal Control Over Financial Reporting |
Morgan, Lewis & Bockius LLP |
| Mar 31 2014 |
SEC (Securities and Exchange Commission) Hosts Roundtable on Cybersecurity Issues and Challenges |
Morgan, Lewis & Bockius LLP |
| Mar 31 2014 |
Securities & Exchange Commission (SEC) Holds Cybersecurity Roundtable Client Alert |
Faegre Drinker |
| Mar 31 2014 |
Why A Form LLC-1 May Be Only Half Right - California Limited Liability Corporations |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Mar 30 2014 |
Commodity Futures Trading Commission (CFTC) Requests Public Comment on ICE Swap Trade Packaged Transaction Rule |
Katten |
| Mar 29 2014 |
Money Manager Sues Securities & Exchange Commission (SEC) to Stop Administrative Action in $1.5 Billion Collateralized Debt Obligations (CDO) Case |
Katten |
| Mar 29 2014 |
“Housekeeping” Updates for Public Companies |
Faegre Drinker |
| Mar 28 2014 |
Commodity Futures Trading Commission (CFTC) Extends Expiration of Multilateral Trading Facilities (MTF) Relief |
Katten |
| Mar 28 2014 |
Jumpstart Our Business and Put it in Neutral: SEC (Securities and Exchange Commission) Proposes Reform of Public Companies Regulations |
Faegre Drinker |
| Mar 28 2014 |
Proposed Changes to Financial Industry Regulatory Authority (FINRA) Classification of Hybrid Securities for Trade Reporting Purposes |
Katten |
| Mar 28 2014 |
How Will The Courts Interpret This? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
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