Mar 28 2014 |
How Will The Courts Interpret This? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Mar 27 2014 |
Audit Committee Member Charged with Fraud for Disregarding Red Flags |
Morgan, Lewis & Bockius LLP |
Mar 26 2014 |
Delaware Law to Provide for Ratification of Defective Corporate Acts as of April 1, 2014 |
McDermott Will & Emery |
Mar 26 2014 |
Ninth Circuit Court Declines To Apply Rule 9(b) To Section 25401 Claim Re: Securities Litigation |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Mar 25 2014 |
U.S. Securities & Exchange Commision (SEC) Brings Charges Against SEC Registered Investment Adviser for Improperly Allocating Expenses and Other Violations of the Investment Advisers Act of 1940 |
Sheppard, Mullin, Richter & Hampton LLP |
Mar 25 2014 |
The Securities Fraud Device That The Legislature Devised To Omit |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Mar 22 2014 |
Second Circuit Upholds SEC’s Authority to Obtain Disgorgement from Non-Trading Insider Profits Earned by Portfolio Fund from Insider Trading |
Sheppard, Mullin, Richter & Hampton LLP |
Mar 21 2014 |
Amendments to Uniform Branch Office Registration Form |
Katten |
Mar 21 2014 |
SEC (Securities and Exchange Commission) Approves New FINRA (Financial Industry Regulatory Authority) Supervision Rules |
Katten |
Mar 21 2014 |
CFTC Requests Comment on Swap Data Reporting Rules - Commodity Futures Trading Commission |
Katten |
Mar 21 2014 |
New Jersey Court Sends Dodd-Frank Whistleblower Claim To Arbitration |
Proskauer Rose LLP |
Mar 20 2014 |
Securities and Exchange Commission's (SEC) Amicus Brief: Internal Whistleblower Reports Covered By Dodd-Frank Anti-Retaliation Provision |
Proskauer Rose LLP |
Mar 20 2014 |
Proxy Season Litigation Primer: Defending Shareholder Suits to Enjoin Annual Meetings for Allegedly Inadequate Disclosures Concerning Equity Compensation Plans |
Mintz |
Mar 20 2014 |
SEC (Securities and Exchange Commission) Proposes Enhanced Regulatory Framework for Certain Registered Clearing Agencies |
Morgan, Lewis & Bockius LLP |
Mar 20 2014 |
Just What Does “Deem” Mean? Re: Legislation |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Mar 19 2014 |
Before This LLC Was Formed, These Members Knew It |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Mar 18 2014 |
Heightened SEC/DOJ Foreign Corrupt Practices Act (FCPA) Standards Offer Risks and Opportunities to Companies and Their Lawyers - Securities and Exchange Commission, Department of Justice |
Barnes & Thornburg LLP |
Mar 18 2014 |
Delaware Supreme Court Confirms the Path to Business Judgment Review in Controlling Stockholder Transactions |
Bracewell LLP |
Mar 18 2014 |
Legislative Trial Balloon for Puerto Rico Public Corporation Insolvency Process Attracts Bondholder Attention |
Mintz |
Mar 17 2014 |
Delaware Upholds Business Judgment Review for Controlling Stockholder Mergers If Minority Is Protected |
Mintz |
Mar 17 2014 |
Another Reason Not To Like California’s New LLC Act |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Mar 17 2014 |
Securities and Exchange Commission (SEC) No-Action Letter Provides Relief for Mergers and Acquisitions (M&A) Brokers |
Armstrong Teasdale |
Mar 17 2014 |
SEC (Securities and Exchange Commission) Scrutinizing Contractual Impediments to Whistleblower Complaints |
Proskauer Rose LLP |
Mar 17 2014 |
Commodity Futures Trading Commission (CFTC) Announces Available-to-Trade Determinations |
Katten |
Mar 16 2014 |
New York Department of Financial Services Issues Public Order to Invite Virtual Currency Exchange Proposals |
Katten |
Mar 15 2014 |
Joint Audit Committee Adopts Template Acknowledgment Letters |
Katten |
Mar 15 2014 |
Securities & Exchange Commission (SEC) Prevails in Lawsuit Involving $50 Million Ponzi Scheme |
Katten |
Mar 15 2014 |
Commodity Futures Trading Commission (CFTC) to Host Roundtable on Commodity Pool Operator Risk Management Practices |
Katten |
Mar 15 2014 |
Securities and Exchange Commission (SEC) Brings Lawsuit Against Former Carter’s Executive for Insider Trading and Tippin |
Katten |
Mar 14 2014 |
Chicago Mercantile Exchange (CME) Group Exchanges Adopt Revised Rules Regarding Transfer Trades and Concurrent Long and Short Positions |
Katten |
Mar 14 2014 |
Financial Industry Regulatory Authority (FINRA) Proposes to Amend Rules 2210 and 2214 |
Katten |
Mar 14 2014 |
Securities & Exchange Commission (SEC) Proposes Rules to Enhance Oversight of Clearing Agencies |
Katten |
Mar 14 2014 |
NASDAQ Launches Marketplace for Private Companies |
Katten |
Mar 14 2014 |
SEC (Securities and Exchange Commission) Issues FAQs on Financial Responsibility Rules |
Morgan, Lewis & Bockius LLP |
Mar 14 2014 |
Risk Factors: Another Modest Proposal |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Mar 12 2014 |
Financial Industry Regulatory Authority (FINRA) Issues Investor Alert Concerning Bitcoin Trading and Speculation |
Proskauer Rose LLP |
Mar 12 2014 |
JOBS Act - Jumpstart Our Business Startups: U.S. House of Representatives Legislation |
Michael Best & Friedrich LLP |
Mar 12 2014 |
Office of Administrative Hearings (OAH) Seeks Opinion Regarding Appearances By Non-Attorneys and Out-of-State Attorneys |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Mar 11 2014 |
SEC’s (Securities and Exchange Commission) New Priorities Continue To Come Into Focus: Admissions Of Liability |
Barnes & Thornburg LLP |
Mar 11 2014 |
Securities and Exchange Commission (SEC) Provides Limited Business Broker Registration Relief for Private Company Mergers and Acquisitions (M&A) Transactions |
Hunton Andrews Kurth |
Mar 11 2014 |
Tenth Circuit Looks Past “General Partnership” Labels in Agreements to Determine Whether Certain Investments Constitute “Securities” |
Sheppard, Mullin, Richter & Hampton LLP |
Mar 10 2014 |
FINRA Requests Comment on Proposed Rule Set for Limited Corporate Financing Brokers - Financial Industry Regulatory Authority |
Katten |
Mar 9 2014 |
Court Grants Preliminary Approval of Settlement in Merger Case - District Court for the Western District of Pennsylvania |
Katten |
Mar 9 2014 |
CFTC Reissues FAQ on Commodity Options - Commodity Futures Trading Commission |
Katten |
Mar 9 2014 |
Best Practices For Gramm-Leach-Bliley Compliance Re: Data Security and Customer Privacy |
Jackson Lewis P.C. |
Mar 9 2014 |
US Court of Appeals for the Eleventh Circuit Upholds Fraud Penalties for Ex-GlobeTel Executives |
Katten |
Mar 9 2014 |
SEC Issues No-Action Relief to Broker Dealers from Financial Responsibility Rule 15c3-3 Amendments - Securities and Exchange Commission |
Katten |
Mar 9 2014 |
CFTC to Host Roundtable on End-Users - Commodity Futures Trading Commission |
Katten |
Mar 7 2014 |
Supreme Court Broadens Sarbanes-Oxley Whistleblower Protections, Extends Coverage to Employees of a Public Company’s Private Contractors |
Faegre Drinker |
Mar 7 2014 |
SEC (Securities and Exchange Commission) Settles Charges Against Credit Suisse for Providing Unregistered Services to U.S. Clients |
Vedder Price |