| Sep 30 2016 |
SEC Adopts Rules for Enhanced Regulatory Framework for Securities Clearing Agencies |
Katten |
| Sep 30 2016 |
Pay-To-Play Meets The California Labor Code |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Sep 28 2016 |
Your 401(k) Plan "Brokerage Window" May Require An S-8 Registration |
Cadwalader, Wickersham & Taft LLP |
| Sep 28 2016 |
Second Circuit Affirms Exclusion of Certain Foreign Purchasers and Purchases from Securities Class Action |
Proskauer Rose LLP |
| Sep 26 2016 |
SEC Adopts New Disclosure and Recordkeeping Requirements for Advisers |
Vedder Price |
| Sep 26 2016 |
SEC Settles Charges against Adviser for Failing to Disclose Termination Waiver Arrangement with Sub-Adviser in Connection with a Manager-of-Managers Exemptive Application |
Vedder Price |
| Sep 26 2016 |
SEC Settles with Thirteen Investment Advisers for Negligent Reliance on False Performance Claim |
Vedder Price |
| Sep 26 2016 |
SDNY Refuses to Dismiss Executive’s Dodd-Frank Retaliation Claim |
Proskauer Rose LLP |
| Sep 26 2016 |
CFIUS Upcoming/New Filing: GlobalWafers Co., Ltd. and SunEdison Semiconductor Limited |
Squire Patton Boggs (US) LLP |
| Sep 24 2016 |
EB-5 Investment Fraud SEC Whistleblower Lawyers |
Zuckerman Law |
| Sep 23 2016 |
Eastern District of Wisconsin: SOX Does Not Protect Whistleblower Complaints Based On Immaterial, Routine Events |
Proskauer Rose LLP |
| Sep 22 2016 |
U.S. Securities and Exchange Commission Surpasses $100 Million in Awards Through Whistleblower Program |
Jackson Lewis P.C. |
| Sep 22 2016 |
SEC Issues Another Multi-Million Dollar Whistleblower Award |
Proskauer Rose LLP |
| Sep 21 2016 |
SEC Approves FINRA Pay-to-Play Rules: Investment Adviser Third-Party Solicitor Pay-to-Play Rule to Finally Go Effective |
Faegre Drinker |
| Sep 21 2016 |
The DOL Fiduciary Duty Rule: Impact on Cash Solicitors for Advisory Firms |
Greenberg Traurig, LLP |
| Sep 16 2016 |
“Financial CHOICE Act” Approved by House Financial Services Committee |
Covington & Burling LLP |
| Sep 16 2016 |
SEC Chair Gives Speech on Equity Market Structure |
Katten |
| Sep 16 2016 |
The SEC Remains Active with Whistleblowers |
Hunton Andrews Kurth |
| Sep 15 2016 |
NFA Proposal Would Require CFTC-Registered Asset Managers to Report on Financial Condition |
Morgan, Lewis & Bockius LLP |
| Sep 15 2016 |
What Does it Mean To “Blow the Whistle” Under The Dodd-Frank Act? Courts Provide Different Answers |
Polsinelli PC |
| Sep 15 2016 |
SEC Enforcement Director Touts Success of SEC Whistleblower Program |
Zuckerman Law |
| Sep 15 2016 |
Securities Fraud and Violations: Was This “Whiz Kid” An Investment Adviser? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Sep 14 2016 |
Ninth Circuit Holds SOX 304 Clawback Applies to Executives Not at Fault |
Mintz |
| Sep 14 2016 |
North American Securities Administrators Association Releases 2015 Enforcement Report |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Sep 13 2016 |
SEC Sues Company and its GC/CCO for Failure to Disclose and Accrue Charge for a Pending DOJ Investigation |
Proskauer Rose LLP |
| Sep 13 2016 |
Virtus Investment Partners Asks Court to Certify for Interlocutory Appeal Its Decision on Loss Causation Concerning Mutual Fund Disclosures |
Mintz |
| Sep 13 2016 |
Ninth Circuit Permits SEC to Assert Standalone Claim for False Sarbanes-Oxley Certification, Confirms Disgorgement Remedy Against CEO and CFO Despite Lack of Personal Involvement |
Sheppard, Mullin, Richter & Hampton LLP |
| Sep 12 2016 |
SEC Whistleblower Awards: Can You Hear Whistles Blow? Valued At More Than $100 Million, You Bet You Can! |
Polsinelli PC |
| Sep 12 2016 |
In Eagerly Awaited Ruling, AXA Beats Excessive Fee Claim |
Morgan, Lewis & Bockius LLP |
| Sep 12 2016 |
Charging Order – How Nevada Secretary Of State Doesn’t Get It Quite Right |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Sep 9 2016 |
September 2016: A Compilation of Enforcement and Non-Enforcement Actions: AXA Prevails in Excessive Fee Trial; Business Continuity Planning; SEC Rule Designed to Assist Certain Investment Advisers |
Foley & Lardner LLP |
| Sep 9 2016 |
FINRA Proposes Changes to Its Inter-Dealer Quotation System for OTC Equity Securities |
Katten |
| Sep 8 2016 |
Settlement with SEC Gives Municipalities 180 Days to Become Compliant With Continuing Disclosure Obligations |
Dinsmore & Shohl LLP |
| Sep 8 2016 |
SEC Approves Amendments to Form ADV Part 1A and Certain Additions to Investment Advisers Act Rules |
Faegre Drinker |
| Sep 7 2016 |
SEC Changes Some of Its Procedural Rules After Constitutional Challenges |
Barnes & Thornburg LLP |
