| Mar 21 2017 |
Non-Use Agreement Need Not Precede Disclosure of Confidential Information |
Proskauer Rose LLP |
| Mar 21 2017 |
SEC Proposes Significant Alterations for Financial Obligation Disclosures for Governmental Issuers and Certain Nonprofit Organizations |
Polsinelli PC |
| Mar 20 2017 |
ESMA Publishes New Q&As on the Central Securities Depositories Regulation |
Katten |
| Mar 17 2017 |
SEC Adopts Rule Requiring Hyperlinks to Exhibits and HTML Formatting |
Sheppard, Mullin, Richter & Hampton LLP |
| Mar 17 2017 |
SEC Proposes Expansive New Continuing Disclosure Requirements Regarding Private Debt and Other Financial Obligations |
Mintz |
| Mar 16 2017 |
SEC Staff Issues Interpretive Letter Permitting Open-End Funds to Acquire Shares of Affiliated Closed-End Funds |
Vedder Price |
| Mar 16 2017 |
SEC Staff Publishes FAQ in Response to Questions Regarding Its Mutual Fund Fee Structure Guidance and “Clean Shares” Interpretive Letter |
Vedder Price |
| Mar 16 2017 |
OCIE Issues Risk Alert Regarding Compliance Topics Frequently Identified in Deficiency Letters |
Vedder Price |
| Mar 16 2017 |
Circuit Split Over Protection Afforded By Dodd-Frank Whistleblower Provision Widens |
Jackson Lewis P.C. |
| Mar 16 2017 |
A Deeper Dive into Diversity: SEC's Advisory Committee Calls for Increased Board Diversity Disclosure |
Faegre Drinker |
| Mar 16 2017 |
Ninth Circuit Holds Dodd-Frank Protects Internal Whistleblowing |
Zuckerman Law |
| Mar 16 2017 |
German BaFin Publishes Guidelines for Higher Administrative Fines |
Morgan, Lewis & Bockius LLP |
| Mar 15 2017 |
Trump Administration to nominate J. Christopher Giancarlo to serve as CFTC Chairman |
Covington & Burling LLP |
| Mar 15 2017 |
Conflict Minerals Rule Legal Challenge — Done and Done |
Squire Patton Boggs (US) LLP |
| Mar 14 2017 |
SEC Considers Modernization of Industry Guide 3 for Bank Holding Companies |
ArentFox Schiff LLP |
| Mar 14 2017 |
Securities Fraud Enforcement Action Prompts the Question: What Was the Company Smoking? |
Zuckerman Law |
| Mar 14 2017 |
SEC Weighs In on Robo-Advisers: Disclosure, Suitability, and Compliance Obligations |
Morgan, Lewis & Bockius LLP |
| Mar 14 2017 |
U.S. Futures Exchanges Disciplinary Actions Report - February 2017 |
Bracewell LLP |
| Mar 14 2017 |
SEC Speaks: 2017 Enforcement and Exam Trends for Private Funds |
Proskauer Rose LLP |
| Mar 14 2017 |
Questions and Answers on State and Local Variations on the SEC Pay-to-Play Rule |
K&L Gates LLP |
| Mar 13 2017 |
The SEC’s Proposed Changes to Rule 15c2-12 Could Have Far-Reaching Impact on Issuers and Obligors of Municipal Securities |
Foley & Lardner LLP |
| Mar 13 2017 |
Layering, Cross-Market Manipulation, Retaliatory Firing and Non-Cooperation - Bridging the Week: March 6 - 10, March 13, 2017 [VIDEO] |
Katten |
| Mar 13 2017 |
ESMA Issues Opinion on UCITS Share Classes |
Katten |
| Mar 13 2017 |
Why Bassam Salman Should Not Have Been Convicted: Salman v. United States |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Mar 13 2017 |
Top 10 Issues Facing Financial Institutions in 2017: #1 Securities Compliance (for publicly traded and privately held banks) |
ArentFox Schiff LLP |
| Mar 11 2017 |
House and Senate Panels Advance SEC Proposals |
Covington & Burling LLP |
| Mar 10 2017 |
SEC Proposes Amendments to Rule 15c2-12 |
Katten |
| Mar 10 2017 |
FINRA Proposes Rule to Revise Qualification and Registration Requirements |
Katten |
| Mar 10 2017 |
SEC Issues Inline XBRL Proposed Rule and Publishes International Financial Reporting Standards (IFRS) Taxonomy |
Katten |
| Mar 10 2017 |
SEC Solicits Comment on Industry Guide 3 |
Katten |
| Mar 10 2017 |
Acting SEC Chairman Piwowar Makes Remarks at the 2017 SEC Speaks Conference, Including With Respect to “Accredited Investor” Definition |
Katten |
| Mar 10 2017 |
SEC Adopts Rule Requiring Hyperlinks to Exhibits Incorporated by Reference in SEC Filings |
Katten |
| Mar 10 2017 |
Issuer Penalized for Omitting Risks to Investors |
Dinsmore & Shohl LLP |
| Mar 10 2017 |
Can It Be That California, “The Biggest Loser” Is Also Number One? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Mar 9 2017 |
Ninth Circuit Expands Reach of Dodd-Frank Anti-Retaliation Protections |
Squire Patton Boggs (US) LLP |
