| Mar 9 2017 |
Exactly What Part Of “To The Commission” Is Ambiguous? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Mar 9 2017 |
Ninth Circuit — Dodd-Frank Protects Internal Whistleblowers |
Proskauer Rose LLP |
| Mar 9 2017 |
Initial Results Validate Crowdfunding Reforms |
Ward and Smith, P.A. |
| Mar 9 2017 |
SEC Final Rules on Hyperlinking in Registration Statements: Link to the Past (and Present) |
Foley & Lardner LLP |
| Mar 9 2017 |
Registered Investment Advisers Take Note: New SEC Custody Rule Guidance |
Katten |
| Mar 8 2017 |
Maryland District Court Dismisses SOX and Dodd Frank Whistleblower Claims |
Proskauer Rose LLP |
| Mar 8 2017 |
Does Whistleblower Protection Extend To Disclosures To Your Mom Or The Press? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Mar 7 2017 |
SEC Reduces Whistleblower Bounty Based On Culpability And Delayed Reporting |
Proskauer Rose LLP |
| Mar 6 2017 |
Signs, Signs, Everywhere a Sign: Changes in Store for SEC Enforcement under the Trump Administration |
Cadwalader, Wickersham & Taft LLP |
| Mar 6 2017 |
Bridging the Week: EFRPs; Sanctions; Regulator Hide and Seek; Red Flags Missed Again February 27 to March 3 and March 6, 2017 |
Katten |
| Mar 3 2017 |
SEC Staff Identifies Several Paths to “Inadvertent Custody” Under the Advisers Act Custody Rule |
K&L Gates LLP |
| Mar 3 2017 |
Accounting Fraud SEC Whistleblower Attorneys |
Zuckerman Law |
| Mar 3 2017 |
SNAP IPO Debuts On New York Stock Exchange |
Sheppard, Mullin, Richter & Hampton LLP |
| Mar 3 2017 |
SEC Continues Aggressive Oversight of Separation and Confidentiality Agreements |
Epstein Becker & Green, P.C. |
| Mar 3 2017 |
SEC Speaks 2017: Key Development Highlights |
Morgan, Lewis & Bockius LLP |
| Mar 3 2017 |
Looking Ahead: Executive Compensation for Financial Services in a Trump Administration |
Epstein Becker & Green, P.C. |
| Mar 3 2017 |
How the Trump Administration May Impact the Oversight and Enforcement of Dodd-Frank’s Whistleblower Protections |
Epstein Becker & Green, P.C. |
| Mar 3 2017 |
GAO Report Calls for Improvements in Government Contractor Whistleblower Protections |
Zuckerman Law |
| Mar 3 2017 |
5 Tips for SEC Whistleblowers and Lessons Learned from SEC Whistleblower Awards |
Zuckerman Law |
| Mar 3 2017 |
Why An Understanding Of Officers As Agents May Be Important |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Mar 3 2017 |
SEC Awards for Disclosures of Foreign Bribery or FCPA Violations |
Zuckerman Law |
| Mar 2 2017 |
SEC CEO Pay Ratio Rule May Not Survive under New Administration |
Jackson Lewis P.C. |
| Mar 2 2017 |
SEC guidance on roboadvice |
K&L Gates LLP |
| Mar 1 2017 |
SEC Examinations of RIAs and Broker-Dealers under the ReTIRE Initiative: Interesting Angles on the DOL’s Fiduciary Rule #38 |
Faegre Drinker |
| Mar 1 2017 |
TIC Form SHC Deadline Approaching to Report U.S. Ownership of Foreign Securities |
Proskauer Rose LLP |
| Feb 28 2017 |
Highlights from SEC Speaks 2017: Litigation and Enforcement Trends |
Vedder Price |
| Feb 27 2017 |
Bridging the Weeks: Feb 13-24 and Feb 27 (Variation Margin; EFRPs, Wash Sales; Position Limits; Electronic Trader Tags; Cybersecurity) |
Katten |
| Feb 24 2017 |
SEC Whistleblower Program: What is the SEC Form TCR? |
Zuckerman Law |
| Feb 24 2017 |
SEC Whistleblower Program May Be Facing Congressional Cutback |
Foley & Lardner LLP |
| Feb 23 2017 |
Regulators Release Guidance for Compliance with Variation Margin Requirements for Non-Cleared Swaps |
Covington & Burling LLP |
| Feb 23 2017 |
SEC Whistleblower Protection: Recent Cautionary Tales and New Best Practices |
Katten |
| Feb 23 2017 |
California Court Finds Promissory Notes Are Not Securities |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Feb 22 2017 |
President Trump Signs Repeal of SEC's Extraction Payment Disclosure Rule |
Bracewell LLP |
| Feb 22 2017 |
Silver Hills Doesn’t Mute Howey: Silver Hills Country Club v. Sobieski |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Feb 22 2017 |
OCIE Highlights Five Deficiency Areas in Examinations of Advisers: Office of Compliance Inspections and Examinations |
Faegre Drinker |
