| 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 |
| Feb 7 2014 |
US District Court for the Southern District of New York Grants SEC’s Final Summary Judgment Claim in Securities and Investment Advisor Fraud Case |
Katten |
| Feb 6 2014 |
Securities and Exchange Commission (SEC) No-Action Letter Addresses “M&A Brokers” |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Feb 6 2014 |
Financial Industry Regulatory Authority (FINRA) and the U.S. Securities and Exchange Commission (SEC) to Focus on IRA Rollover Practices in 2014 |
Morgan, Lewis & Bockius LLP |
| Feb 5 2014 |
Securities and Exchange Commission (SEC) Provides No-Action Relief for M&A (Mergers and Acquisition) Brokers |
Morgan, Lewis & Bockius LLP |
| Feb 5 2014 |
Preparation for 2013 Fiscal Year-End SEC Filings and 2014 Annual Shareholder Meetings |
Mintz |
| Feb 4 2014 |
Second Circuit Holds Delaware Fiduciary Duty Law Preempted By Federal Interest In Fiscal Stability |
Sheppard, Mullin, Richter & Hampton LLP |
| Feb 4 2014 |
Second Circuit Affirms Dismissal of Short-Swing Profit Claim Against Goldman Sachs Arising from Six-Month Call Options |
Sheppard, Mullin, Richter & Hampton LLP |
| Feb 4 2014 |
Investor Voice May Rue Adoption Of Single Voting Standard |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Feb 4 2014 |
Bureau of Industry and Security (BIS) Orders Company to Conduct External Audit in Settlement |
Faegre Drinker |
| Feb 3 2014 |
On Closer Inspection, This CII (Council of Institutional Investors) “Best Practice” May Be Neither Good Nor Legal |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Feb 2 2014 |
Shareholder Derivative Suit Dismissed for Failure to Show Demand Futility |
Katten |
| Feb 2 2014 |
Federal Trade Commission (FTC) Announces New Filing Thresholds for Hart-Scott-Rodino Pre-Merger Notifications |
Katten |
| Feb 2 2014 |
This Plaintiff Dreamed Of Shares That Never Were |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Feb 2 2014 |
A View from Amsterdam: Recent Developments in Implementing the Alternate Investment Fund Manager’s Directive |
Greenberg Traurig, LLP |
| Feb 1 2014 |
Second Circuit Upholds Insider Trading Claim for Unregistered Securities |
Katten |
| Feb 1 2014 |
Bilateral China / US Investment ‐ Is 2014 the Year? |
Greenberg Traurig, LLP |
| Feb 1 2014 |
European Market Infrastructure Regulation (EMIR) Trade Reporting Requirements Come Into Effect 12 February 2014 |
McDermott Will & Emery |
| Feb 1 2014 |
FinCEN Issues Money Services Businesses (MSB) Guidance for Bitcoin Miners, Investors and Software Developers |
Katten |
| Jan 31 2014 |
SEC (Securities and Exchange Commission) Division of Corporation Finance Issues Three C&DIs (Compliance and Disclosure Interpretations) Relating to “Unbundling Rule” |
Katten |
| Jan 31 2014 |
Amendments to Delaware Limited Liability Company Act Confirm that Managing Members and Managers of Delaware Limited Liability Companies Owe Default Fiduciary Duties |
Greenberg Traurig, LLP |
| Jan 31 2014 |
National Futures Association (NFA) Members Must Provide Suspicious Activity Reports to NFA Upon Request |
Katten |
| Jan 31 2014 |
Institutional Shareholder Services (ISS) Introduces Updated QuickScore Governance Ratings System |
Vedder Price |
| Jan 31 2014 |
Securities Regulators’ Increasing Use of Real-Time Monitoring Systems – Is Skynet Next? |
Barnes & Thornburg LLP |
| Jan 31 2014 |
Delaware Court of Chancery Upholds the Facial Validity of Organic Exclusive Forum Provisions, But Future “As‐ Applied” Challenges Could be a Different Matter |
Greenberg Traurig, LLP |
| Jan 30 2014 |
Going South: What U.S. Companies Need to Know About The Foreign Corrupt Practices Act (FCPA) and Doing Business in Latin America |
Barnes & Thornburg LLP |
| Jan 30 2014 |
I May Be Pettifogging, But I Have to Ask: Is It Time To Dump The Proxy And Give Shareholders A Ballot? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jan 30 2014 |
Section 162(m): Actions that Should be Taken by March 31, 2014, and/or in this Year's Proxy to Avoid the $1,000,000 Deduction Limitation |
Greenberg Traurig, LLP |
| Jan 28 2014 |
Higher Filing Thresholds for HSR Act Premerger Notifications Effective February 24, 2014 (Hart-Scott-Rodino Antitrust Improvements Act of 1976) |
Sheppard, Mullin, Richter & Hampton LLP |
| Jan 28 2014 |
Clothing Manufacturer to Pay $4.8 Million Settlement to Investors for Immigration Violation |
Jackson Lewis P.C. |
| Jan 26 2014 |
Commodity Futures Trading Commission (CFTC) Interdivisional Working Group to Review Swap Reporting |
Katten |
| Jan 26 2014 |
Does Reputation Really Impact the Bottom Line? |
Risk and Insurance Management Society, Inc. (RIMS) |
| Jan 25 2014 |
Federal Trade Commission (FTC) Announces New Hart-Scott-Rodino Act (HSR) Thresholds |
ArentFox Schiff LLP |
| Jan 25 2014 |
National Futures Association (NFA) Requests Comment on Commodity Pool Operator/Commodity Trading Advisor (CPO/CTA) Requirements |
Katten |
| Jan 25 2014 |
First Made Available to Trade (MAT) Determinations Are Deemed Certified |
Katten |
| Jan 25 2014 |
Proposal Seeks To Make California The Artificer And Enforcer Of Caps On Executive Compensation |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
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