| May 18 2017 |
Financial Regulators to Reassess Volcker Rule |
Covington & Burling LLP |
| May 17 2017 |
Can Whistleblower Be the Expert? |
IMS Legal Strategies |
| May 16 2017 |
Court Overseeing the Valeant Securities Litigation Issues a Highly Anticipated Decision Ruling that Alleged Misstatements in Rule 144A Offerings Are Not Actionable Under Section 12(a)(2) |
Mintz |
| May 16 2017 |
BlackRock Settles Charges of Operating ETF Without Required SEC Exemptive Relief |
Vedder Price |
| May 12 2017 |
US District Court Holds That Discretionary Tax Withholding is Exempt Under 16b-3 |
Katten |
| May 12 2017 |
Hinman Named Director of Division of Corporation Finance |
Katten |
| May 12 2017 |
Conflict Minerals Rule — Will It Stay or Will It Go? |
Squire Patton Boggs (US) LLP |
| May 11 2017 |
New Long-Term Reporting Guidance - UK Investment Association |
Squire Patton Boggs (US) LLP |
| May 11 2017 |
Requiem for Reasonable Expectations - Issue Price of Tax-Advantaged Bonds |
Squire Patton Boggs (US) LLP |
| May 11 2017 |
If The Market Makes You Do It, Why Should The SEC? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| May 10 2017 |
Real Estate Fund Advisers And Penumbra Registration |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| May 9 2017 |
More On Real Estate Funds And The Investment Advisers Act |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| May 8 2017 |
Bridging the Week: May 1 to 5 and May 8, 2017 (Views on Reg AT; CCO Obligations and Annual Reports; Jay Clayton; KISS and Tell) |
Katten |
| May 5 2017 |
Sometimes the Truth is Stranger than Fiction – Update |
Squire Patton Boggs (US) LLP |
| May 4 2017 |
Corporate Political Disclosure Fight Shifts to Mutual Funds |
Covington & Burling LLP |
| May 4 2017 |
SEC Staff Reports On “Real Estate Funds”, But What Exactly Are They? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| May 2 2017 |
SEC Issues Another Whistleblower Bounty Award |
Proskauer Rose LLP |
| May 2 2017 |
Supreme Court Asked to Review Scope of Dodd-Frank’s Whistleblower Provision |
Proskauer Rose LLP |
| May 1 2017 |
Congress to Vote on Funding Bill; House to Consider North Korea Sanctions Legislation |
Squire Patton Boggs (US) LLP |
| Apr 27 2017 |
SEC Throws a Change-up in Conflict Minerals Rule Compliance |
Hunton Andrews Kurth |
| Apr 27 2017 |
Ninth Circuit Court Rules Plaintiff Failed To Plead Real Estate Investment Was “Security” |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Apr 26 2017 |
SEC Announces First Whistleblower Award During Trump Era |
Proskauer Rose LLP |
| Apr 25 2017 |
SEC Sends a Stern Reminder That It Is Serious About Punishing “Spoofing” and “Layering” Schemes in the Securities Markets |
K&L Gates LLP |
| Apr 23 2017 |
SEC Cracking Down on Ponzi Schemes |
Zuckerman Law |
| Apr 21 2017 |
Is the Pendulum of Bond Pricing Beginning to Swing Back Toward Discount Bonds? If So, We Need to Be Prepared for the Resulting Bond Yield Calculations |
Squire Patton Boggs (US) LLP |
| Apr 20 2017 |
Mutual Fund Directors Forum Issues Report on the Role of Directors in Oversight of the Risk Management Function |
Vedder Price |
| Apr 20 2017 |
Capital Markets & Public Companies Quarterly- April 20, 2017: New Developments in 2017 |
McDermott Will & Schulte LLP |
| Apr 20 2017 |
SEC Staff Issues Guidance Update Addressing Advisers Act Obligations of Robo-Advisers |
Vedder Price |
| Apr 20 2017 |
SEC Staff Issues Guidance on “Inadvertent Custody” of Client Assets |
Vedder Price |
| Apr 20 2017 |
SEC Issues Proposal Requiring Use of Inline XBRL Format for Mutual Fund Risk/Return Summaries |
Vedder Price |
| Apr 20 2017 |
SEC Staff Issues No-Action Letter Permitting U.S. Master Fund— Foreign Feeder Fund Arrangements |
Vedder Price |
| Apr 20 2017 |
SEC Adopts T+2 Settlement Cycle for Securities Transactions, Shortening Timing Mismatch for Mutual Funds |
Vedder Price |
| Apr 20 2017 |
Dodd-Frank Act Claims, Non-SEC Whistleblowers, False Claims Act Appeal: Review of Recent Whistleblower Developments April 2017 |
Foley & Lardner LLP |
| Apr 19 2017 |
SEC’s Investor Advisory Committee Airs Concerns Over Multi-Tiered Offerings Following Snap’s IPO |
Mintz |
| Apr 18 2017 |
New SEC Rule 147A and Related Rule Amendments Facilitate Capital Formation |
Steptoe & Johnson PLLC |
