| Jun 29 2017 |
House Passes Financial CHOICE Act As A Dodd-Frank Fix |
ArentFox Schiff LLP |
| Jun 29 2017 |
RegTech: U.S. Regulator’s View on Artificial Intelligence in Risk Assessment |
K&L Gates LLP |
| Jun 29 2017 |
Even If Enacted, Financial CHOICE Act May Not Repeal SEC’s Pay Ratio Rule |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jun 28 2017 |
Supreme Court Deals Blow to SEC By Applying Five-Year Statute of Limitations to Disgorgement Remedies in SEC Enforcement Actions |
Sheppard, Mullin, Richter & Hampton LLP |
| Jun 27 2017 |
Delaware Chancery Court Holds More than Red Flags Required to Allege Demand Futility in Derivative Suit |
K&L Gates LLP |
| Jun 27 2017 |
Anonymous Whistleblowing: Does the SEC Whistleblower Program Protect a Whistleblower’s Identity? |
Zuckerman Law |
| Jun 26 2017 |
Changes to the PSC Regime: AIM Companies Take Note |
Squire Patton Boggs (US) LLP |
| Jun 26 2017 |
Bridging the Week: June 19 to 23 and June 26, 2017 (Costs and Benefits Don’t Add Up; Floor Trading; LOPR; MiFID II and Direct Market Access) [VIDEO] |
Katten |
| Jun 26 2017 |
MD&A-Related Claims against Corporate Execs Reinforce Recent SEC Enforcement Trends |
Faegre Drinker |
| Jun 26 2017 |
What Employment Protections are Available for SEC Whistleblowers? Chapter 3 |
Zuckerman Law |
| Jun 23 2017 |
Nevada Imposes Fiduciary Obligations on Broker-Dealers and Investment Advisers |
Morgan, Lewis & Bockius LLP |
| Jun 22 2017 |
Issue Price: Notes from the Field |
Squire Patton Boggs (US) LLP |
| Jun 22 2017 |
Lending Club Decision Provides Guidance For Bringing Section 11 Claims Based on Weaknesses in Internal Controls |
Mintz |
| Jun 22 2017 |
Nasdaq Requests Comment On Private Placement Rule Changes |
Jones Walker LLP |
| Jun 21 2017 |
Market Risk Advisory Committee to Host Public Meeting |
Katten |
| Jun 21 2017 |
US Supreme Court Imposes Limitations on Disgorgement |
Morgan, Lewis & Bockius LLP |
| Jun 20 2017 |
Valuation of Illiquid Portfolio Investments – Avoiding Regulatory Risks with Form and Substance |
Proskauer Rose LLP |
| Jun 19 2017 |
Can I Submit Anonymous Tip to SEC Whistleblower Office? Chapter 2 |
Zuckerman Law |
| Jun 17 2017 |
House Passes the Financial CHOICE Act of 2017: Implications for Exemptive Relief Process |
Vedder Price |
| Jun 17 2017 |
FINRA Proposes Rule Change to Extend the Implementation of Margin Requirements for Credit Default Swaps |
Katten |
| Jun 17 2017 |
SEC Settles Charges Against Calvert for Improper Use of Fund Assets for Marketing, Distribution and Sub-Transfer Agency Service |
Vedder Price |
| Jun 16 2017 |
SEC Settles Charges Against Barclays Capital for Overcharging Advisory Clients |
Vedder Price |
| Jun 16 2017 |
SEC Commissioner Piwowar: SEC Staff Working on Amendments to the “Loan Provision” Concerning Auditor Independence |
Vedder Price |
| Jun 16 2017 |
OCIE Issues Risk Alert on Critical Systems Following “WannaCry” Ransomware Attack |
Vedder Price |
| Jun 16 2017 |
SEC Updates to Form ADV FAQs |
Katten |
| Jun 15 2017 |
Does A Political Yard Sign Really Violate Investment Advisers Act? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jun 14 2017 |
What is the SEC Whistleblower Program? Chapter 1 |
Zuckerman Law |
| Jun 14 2017 |
SEC Whistleblower Program: Who is “Eligible” Whistleblower for Award Under Program? |
Zuckerman Law |
| Jun 14 2017 |
SEC Whistleblower Program: What are the largest SEC whistleblower awards? - Chapter 5 |
Zuckerman Law |
| Jun 14 2017 |
Insider Trading Is Like A Dog Named “Stay” |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jun 12 2017 |
N.D. Illinois Dismisses Dodd-Frank Whistleblower Claim For Lack Of Complaint To The SEC |
Proskauer Rose LLP |
| Jun 12 2017 |
District Court Dismisses Shareholder Claim that Equity Award Share Withholding Triggers Section 16(b) Liability |
McDermott Will & Schulte LLP |
| Jun 12 2017 |
U.S. Supreme Court Delivers Blow Limiting SEC Disgorgement Power |
Barnes & Thornburg LLP |
| Jun 12 2017 |
Bridging the Week: June 5-9, June 12, 2017 (SEC Disgorgement Actions Are Not Forever; Keep Suspicions in SARs; Audit Trail Requirements) [VIDEO] |
Katten |
| Jun 11 2017 |
Sarbanes-Oxley Whistleblower Decision Clarifies Broad Scope of Protected Whistleblowing |
Zuckerman Law |
