| Aug 16 2017 |
E.D. Virginia Tosses Dodd-Frank Whistleblower Claim for Lack of SEC Complaint |
Proskauer Rose LLP |
| Aug 16 2017 |
7th Circuit Affirms 1st Conviction For Spoofing |
Faegre Drinker |
| Aug 15 2017 |
SEC Observations from Recent Cybersecurity Examinations Identify Best Practices |
Morgan, Lewis & Bockius LLP |
| Aug 14 2017 |
Bridging the Week: August 7 to 11 and August 14, 2017 (Spoofing; Disaggregation; Cybersecurity; Cooperation) [VIDEO] |
Katten |
| Aug 12 2017 |
The CFTC Settles Another Spoofing Case |
Faegre Drinker |
| Aug 10 2017 |
U.S. Futures Exchanges Disciplinary Actions Report - July 2017 |
Bracewell LLP |
| Aug 9 2017 |
U.S. Public Companies: Calculating Your Public Float – What You Need to Know |
Mintz |
| Aug 9 2017 |
Clicking Into Compliance: September 1, 2017 Effective Date for SEC Exhibit Hyperlink Requirement |
Faegre Drinker |
| Aug 9 2017 |
How To Confer A $6.9 Million Benefit For Less Than A Half Dollar |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Aug 9 2017 |
Relief from 408(b)(2) Requirement on Change Notice: Interesting Angles on the DOL’s Fiduciary Rule #57 |
Faegre Drinker |
| Aug 8 2017 |
Whistleblowers Protected by the Sarbanes-Oxley Act: SOX Whistleblowers - Chapter 1 |
Zuckerman Law |
| Aug 8 2017 |
Pending CFIUS Filing: HNA Capital Group/HNA Group Co. and SkyBridge Capital II |
Squire Patton Boggs (US) LLP |
| Aug 8 2017 |
Do I Have To Report Violation To My Company Before Reporting to SEC Whistleblower Office? - Chapter 11 |
Zuckerman Law |
| Aug 7 2017 |
Bridging the Week: July 31 to August 4 and August 7, 2017 (Volcker; Spoofing; Distributed Ledger; New Commissioners) [VIDEO] |
Katten |
| Aug 3 2017 |
SEC Warns That Digital Tokens May Be Securities |
Katten |
| Aug 3 2017 |
The Ball is in the SEC’s Court: What Health Care Borrowers Can Do While Waiting on Changes to Rule 15c2-12 |
Foley & Lardner LLP |
| Aug 3 2017 |
Another “Best Practices” May Not Be Best After All |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Aug 1 2017 |
SEC Issues Guidance on Initial Coin Offerings and Cryptocurrencies |
Barnes & Thornburg LLP |
| Aug 1 2017 |
SEC and FINRA Continue to Root Out Bad Brokers |
Greenberg Traurig, LLP |
| Aug 1 2017 |
SEC Issues Award To Whistleblower Despite Culpability And Delay |
Proskauer Rose LLP |
| Aug 1 2017 |
Materiality – “Shoulda, Coulda, Woulda?” |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jul 31 2017 |
SEC Chairman Announces 8 Core Principles |
Barnes & Thornburg LLP |
| Jul 31 2017 |
Bridging the Week: July 24 to 28 and July 31, 2017 (Bitcoin Derivatives Clearinghouse; Digital Tokens for Fund-Raising; Bitcoin Alleged Criminal Activity; Spoofing; Reg MAR) [VIDEO] |
Katten |
| Jul 31 2017 |
When is Best Time to Report Fraud or Misconduct to SEC? - Chapter 10 |
Zuckerman Law |
| Jul 31 2017 |
SEC Speaks on Initial Coin Offerings: Tokens May Be Securities |
Proskauer Rose LLP |
| Jul 31 2017 |
U.S. SEC Issues Report on Digital Currencies and Related Autonomous Organizations |
K&L Gates LLP |
| Jul 28 2017 |
CFTC Fines and Imposes Permanent Ban on Trader Accused of Spoofing |
Bracewell LLP |
| Jul 28 2017 |
Using “Finders” to Find Capital: Avoiding Problems for Your Company |
Varnum LLP |
| Jul 28 2017 |
SEC Cautions Securities Laws May Apply to Interests in Virtual Organizations |
Katten |
| Jul 28 2017 |
SEC Chairman Identifies Guiding Principles |
Proskauer Rose LLP |
| Jul 27 2017 |
The SEC and ICOs: Putting the SEC’s Determination that DAO Tokens are Securities in Context |
Sheppard, Mullin, Richter & Hampton LLP |
| Jul 27 2017 |
SEC Report of Investigation Concludes that DAO Tokens Were Securities |
Covington & Burling LLP |
| Jul 27 2017 |
Negotiating Permits? California Corporate Securities Law |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jul 26 2017 |
Between Bridges: SEC Declines to Prosecute Issuer of Digital Tokens That It Deems Securities Not Issued in Accordance with US Securities Laws |
Katten |
| Jul 26 2017 |
SEC Declares That Initial Coin Offerings (ICOs) May Be Securities; Finds DAO a Security |
Sheppard, Mullin, Richter & Hampton LLP |
