Feb 28 2014 |
Highlights from Securities and Exchange Commission (SEC) Speaks 2014 |
Vedder Price |
Feb 28 2014 |
How U.S. Supreme Court Chadbourne & Parke, LLC v. Troice Threatens The Defense Of The Guilty And The Innocent |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Feb 27 2014 |
Oops! CalPERS (California Public Employees Retirement System) Reportedly Violates Insider Trading Policy Again |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Feb 27 2014 |
The Impact of 409A on Severance Payments |
Faegre Drinker |
Feb 27 2014 |
New SEC (Securities and Exchange) Guidance for M&A (Mergers and Acquisitions) Brokers |
Womble Bond Dickinson (US) LLP |
Feb 27 2014 |
European Securities and Markets Authority (ESMA) Calls for a Uniform Definition of “Derivatives” Under European Market Infrastructure Regulation (EMIR) |
Morgan, Lewis & Bockius LLP |
Feb 26 2014 |
SEC (Securities and Exchange Commission) Approves Revised Semi-Annual Data Reporting Requirements for Section 529 Plan Underwriters |
Mintz |
Feb 26 2014 |
Unprecedented HIPAA Fine May Mean Increased Scrutiny and Penalties Re: Health Insurance Portability and Accountability Act |
Mintz |
Feb 25 2014 |
The SEC (Securities and Exchange Commission) Speaks About FCPA (Foreign Corrupt Practices Act) |
Mintz |
Feb 25 2014 |
Securities Regulator “Surprised and Offended” By SEC’s Regulation A+ Proposal |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Feb 25 2014 |
Angels and Early Exits: Sometimes, a Bird in the Bush is Worth More than a Bird in the Hand |
Michael Best & Friedrich LLP |
Feb 25 2014 |
European Commission Proposes New Long-Term Investment Funds Product |
Morgan, Lewis & Bockius LLP |
Feb 24 2014 |
Securities and Exchange Commission (SEC) to Examine Never-Before Examined Registered Investment Advisers |
Katten |
Feb 21 2014 |
OTC Markets Proposes Amendments to OTCQX Rules and New Rules for US Banks - Re: Over-the-counter Financial Trading Markets |
Katten |
Feb 21 2014 |
Securities and Exchange Commission (SEC) Approves Changes to Financial Industry Regulatory Authority (FINRA) BrokerCheck Disclosure Rule 8312 |
Katten |
Feb 21 2014 |
Securities and Exchange Commission (SEC) Acknowledges Ethical Obligations May Preclude Voluntary Reporting Out By Attorneys |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Feb 20 2014 |
Texas Amends Investment Adviser Registration Exemption for Private Fund Advisers |
Hunton Andrews Kurth |
Feb 20 2014 |
Delaware Court of Chancery Applies Implied Covenant of Good Faith and Fair Dealing to Prohibit An Acquiring Entity From Diverting Revenues to Depress Payouts Under a Contingent Purchase Price Provision |
Sheppard, Mullin, Richter & Hampton LLP |
Feb 20 2014 |
What’s The Matter With The SEC’s Unbundling Interpretation? Re: Securities and Exchange Commission |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Feb 19 2014 |
Select Broker-Dealer, Investment Adviser, and Investment Company Enforcement Cases and Developments: 2013 Year in Review |
Morgan, Lewis & Bockius LLP |
Feb 17 2014 |
National Futures Association (NFA) Issues Notice to Members Regarding Member Obligations Under NFA Bylaw 1101 and Compliance Rule 2-36(d) |
Katten |
Feb 16 2014 |
Securities and Exchange Commission (SEC) Sanctions CEO and CCO of Formerly Registered Investment Adviser for Custody Rule Violations; Accountants Barred from SEC Practice for Failure to Complete Surprise Examination |
Godfrey & Kahn S.C. |
Feb 16 2014 |
Securities and Exchange Commission (SEC) Files Insider Trading Action Despite Unknown Tipper |
Katten |
Feb 14 2014 |
In Drafting A Release, You May Want To Define “Affiliate” Re: California Corporations Code |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Feb 14 2014 |
Hedge Fund Adviser and Holding Company Agree to Pay Nearly $9 Million in SEC Settlement for Overvaluing Fund Assets |
Godfrey & Kahn S.C. |
Feb 13 2014 |
SEC Division of Corporation Finance updates Rule 506 Compliance and Disclosure Interpretations |
Godfrey & Kahn S.C. |
Feb 13 2014 |
Advisers Face Lawsuits Over Fees Charged to Subadvised Funds |
Godfrey & Kahn S.C. |
Feb 13 2014 |
Securities and Exchange Commission (SEC) Files Complaint Against Money Market Fund Adviser and Portfolio Manager |
Godfrey & Kahn S.C. |
Feb 13 2014 |
The CTFC: Armed and Dangerous - Commodity Futures Trading Commission |
Barnes & Thornburg LLP |
Feb 13 2014 |
House Passes Bill Exempting Private Advisers From Registration |
Godfrey & Kahn S.C. |
Feb 13 2014 |
Does The Government Really Pay Awards To Whistleblowers? |
Tycko & Zavareei LLP |
Feb 13 2014 |
Securities and Exchange Commission (SEC) Staff Issues Guidance on Exemption for Advisers to Venture Capital Funds |
Godfrey & Kahn S.C. |
Feb 12 2014 |
Securities and Exchange Commission (SEC) Charges Investment Adviser with Violations of the Federal Securities Laws |
Vedder Price |
Feb 12 2014 |
Securities and Exchange Commission (SEC) Sanctions Investment Adviser and President/Chief Compliance Officer for False and Misleading Advertisements |
Vedder Price |
Feb 12 2014 |
Have the Federal Securities Laws Been Eviscerated? |
Mintz |
Feb 11 2014 |
Federal Securities Class Action Filings Grew 10% in 2013 |
Mintz |
Feb 11 2014 |
Securities and Exchange Commission (SEC) Increases Focus on Cyber Security |
Vedder Price |
Feb 11 2014 |
SEC (Securities and Exchange Commission) Announces 2014 Examination Priorities |
Godfrey & Kahn S.C. |
Feb 11 2014 |
Would Disclosure Improve If The SEC (Securities and Exchange Commission) Used The “Magic Word” A Bit More Often? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Feb 11 2014 |
Securities and Exchange Commission (SEC) Staff Releases 2014 Examination Priorities |
Vedder Price |
Feb 10 2014 |
Division of Investment Management Issues Guidance Regarding Risk Management for Fixed Income Funds |
Vedder Price |
Feb 9 2014 |
SEC Extends Exemptions for Security-based Swaps - Securities and Exchange Commission |
Katten |
Feb 9 2014 |
DOJ Wins Big Insider Trading Case: Martoma Conviction; Bad News for Cohen and SAC -Department of Justice |
Barnes & Thornburg LLP |
Feb 9 2014 |
SEC Division of Corporation Finance Issues Guidance on Rule 506(c) Private Placements - Securities and Exchange Commission |
Katten |
Feb 9 2014 |
Sometimes You Don't Have to Register - Securities and Exchange Commission |
Greenberg Traurig, LLP |
Feb 9 2014 |
Martoma Securities Fraud Case by the Numbers |
Mintz |
Feb 9 2014 |
Securities and Exchange Commission (SEC) Issues Risk Alert on Investment Advisers’ Due Diligence Processes for Selecting Alternative Investments |
Katten |
Feb 8 2014 |
Securities and Exchange Commission (SEC) Issues No-action Relief Regarding Registration of Mergers and Acquisitions (M&A) Brokers |
Katten |
Feb 8 2014 |
California Finders Bill Moves To Senate on 73-1 Vote Re: M&A Brokers |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Feb 8 2014 |
US District Court for the Southern District of Florida Upholds SEC’s Partial Win in Bank Fraud Suit |
Katten |