| Jul 18 2016 |
Bridging the Week: Spoofing; Physical Position Reporting; Administrative Proceedings; Blue Sheets; Reg AT; Order Handling Disclosure; Hedge Exemptions |
Katten |
| Jul 18 2016 |
SEC Proposes Rules on Adviser Business Continuity and Transition Plans |
Faegre Drinker |
| Jul 18 2016 |
SEC Issues Guidance on Business Continuity Planning for Registered Investment Companies |
Faegre Drinker |
| Jul 17 2016 |
ESMA Publishes Responses to Benchmark Regulation Consultation |
Katten |
| Jul 15 2016 |
New Proposed SEC Rules for the Disclosure of Order Handling Information |
Katten |
| Jul 15 2016 |
SEC Division of Corporation Finance Issues New C&DIs on A/B Exchanges |
Katten |
| Jul 15 2016 |
SEC Proposes Amendments To Update and Simplify Disclosure Requirements |
Katten |
| Jul 15 2016 |
SEC Adopts Changes to Security-Based Swap Reporting Rules |
Katten |
| Jul 15 2016 |
SEC Increases Dollar Amount of the Net Worth Threshold Test for “Qualified Clients” in Rule 205-3 Under the Investment Advisers Act of 1940 |
Katten |
| Jul 14 2016 |
Non-GAAP Financial Measures: New SEC Scrutiny |
Hunton Andrews Kurth |
| Jul 14 2016 |
SEC Tweaks In-House Court Rules |
Faegre Drinker |
| Jul 14 2016 |
SEC Adopts Amendments to Rules Governing Its Administrative Proceedings |
Proskauer Rose LLP |
| Jul 13 2016 |
SEC Approves New Nasdaq Rule 5250(b): Disclosure of “Golden Leash” Arrangements |
Proskauer Rose LLP |
| Jul 13 2016 |
SEC Proposes Rule Requiring Investment Advisers To Adopt Business Continuity and Transition Plans |
Katten |
| Jul 12 2016 |
Update: IRS, SEC, and Courts Diverge on Nature of Disgorgement |
Faegre Drinker |
| Jul 12 2016 |
Analysis of First 50 Crowdfunding Offerings: Following the Crowd |
Faegre Drinker |
| Jul 12 2016 |
The Tokyo Stock Exchange: Gateway to the Asian Market |
Greenberg Traurig, LLP |
| Jul 12 2016 |
Securities: Is Rule 10b-5 The “Mother Of All Litotes”? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jul 11 2016 |
Bridging the Weeks: Spoofing; Business Continuity; Blue Sheets; Large Trader Reporting; Transaction Monitoring; Reg AT - June 27 to July 8 and July 11, 2016 |
Katten |
| Jul 11 2016 |
SEC Approves Consolidated FINRA Rule 3210 (Accounts at Other Broker-Dealers and Financial Institutions) |
Katten |
| Jul 11 2016 |
SEC Division of Corporation Finance Issues C&DIs on Application of Rule 701 |
Katten |
| Jul 11 2016 |
SEC Approves NASDAQ’s ‘Golden Leash’ Disclosure Rule |
Katten |
| Jul 11 2016 |
Financial Services Reform Efforts Slow Moving, as Lawmakers Turn to Fight on Terrorism Financing; SEC to Hold Open Meetings |
Squire Patton Boggs (US) LLP |
| Jul 10 2016 |
SEC Proposes Updates to Property Disclosure Regime for Mining Registrants |
Holland & Hart LLP |
| Jul 9 2016 |
Eleventh Circuit Limits SEC Look-Back Period and Sets Up Circuit Split |
ArentFox Schiff LLP |
| Jul 8 2016 |
SEC Proposes Amendments to Definition of ‘Smaller Reporting Company’ |
Katten |
| Jul 8 2016 |
SEC Whistleblower Chief Sean McKessy to Leave, Agency Announces |
Proskauer Rose LLP |
| Jul 8 2016 |
SEC Issues Proposed Rules to Increase Financial Thresholds Applicable to Smaller Reporting Companies |
Michael Best & Friedrich LLP |
| Jul 8 2016 |
Class A Is Class A and Class B Is Class B And Shall Ever The Twain Meet? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jul 7 2016 |
SEC Proposes New Rules That Would Make Available Scaled Disclosure to More Companies |
McDermott Will & Schulte LLP |
| Jul 7 2016 |
SEC Proposes to Expand Qualification for Smaller Reporting Companies |
Giordano, Halleran & Ciesla, P.C. |
| Jul 7 2016 |
NASD Rule 1032(f): New FINRA Proposed Rule |
Faegre Drinker |
| Jul 7 2016 |
SEC Smaller Reporting Company Definition: Bigger Is New ‘Smaller’ |
Morgan, Lewis & Bockius LLP |
| Jul 7 2016 |
Is Certiorari Possibility For SLUSA Question Not Addressed By Any Federal Circuit Court? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jul 5 2016 |
California Legislature Mulls Anti-Short Selling Bill |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
