| Jun 14 2016 |
Canadian Court Holds That Evidentiary Requirement For Leave To File Securities Class Action Is “Not A Low Bar” |
Mintz |
| Jun 14 2016 |
Contingent Deferred Swaps: Sometimes Truth is Stranger than Fiction |
Squire Patton Boggs (US) LLP |
| Jun 13 2016 |
SEC Strikes a Harsh Tone on Receipt of Transaction-based Compensation by Private Equity Fund Managers |
Faegre Drinker |
| Jun 13 2016 |
Did Ethiopian Electric Power Violate California’s Corporate Securities Law? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jun 13 2016 |
Don’t Even Think About Violating That Penny Stock Bar |
Brooks, Pierce, McLendon, Humphrey & Leonard, LLP |
| Jun 13 2016 |
Eleventh Circuit Applies Five-Year Statute of Limitations to SEC Disgorgement Claims |
Katten |
| Jun 13 2016 |
Bridging the Week: AT Roundtable; AT System Malfunction; AT System Developer Registration; Cybersecurity - June 6 to 10 and 13, 2016 |
Katten |
| Jun 13 2016 |
Acting Associate Attorney General Remarks on Yates Memorandum and False Claims Act |
McDermott Will & Schulte LLP |
| Jun 10 2016 |
SEC Announces Second Largest Whistleblower Award Yet ($17M) |
Faegre Drinker |
| Jun 10 2016 |
SEC Issues $17 Million Whistleblower Award |
Proskauer Rose LLP |
| Jun 10 2016 |
FINRA Releases Notice Regarding the SEC’s Approval of Algorithmic Trading Developer Registration Requirements |
Katten |
| Jun 10 2016 |
SEC Adopts Trade Acknowledgement and Verification Rules for Security-Based Swaps |
Katten |
| Jun 10 2016 |
SEC Adopts Amendment to Form 10-K Permitting the Summary of Business and Financial Information |
Katten |
| Jun 10 2016 |
SEC Issues $26M in Whistleblower Awards Over One-Month Period |
Proskauer Rose LLP |
| Jun 9 2016 |
Delaware Chancery Court Rejects Management Buyout Merger Price as Best Evidence of Fair Value in Appraisal Proceeding |
Sheppard, Mullin, Richter & Hampton LLP |
| Jun 9 2016 |
SEC Announces Settlement with Adviser Found to Have Acted as an Unregistered Broker |
Proskauer Rose LLP |
| Jun 9 2016 |
Comment Period Closing July 21 on Possible Expansion of Environmental Sustainability Disclosure Requirements |
Beveridge & Diamond PC |
| Jun 9 2016 |
California Federal Court Declines to Exercise Jurisdiction Over Toshiba Despite Over-the-Counter American Depositary Shares Sales in United States |
Mintz |
| Jun 9 2016 |
SEC Amends Form 10-K to Permit Inclusion of Summaries |
Bracewell LLP |
| Jun 9 2016 |
Two Companies Avoid FCPA Charges through NPAs that Underscore the Value of Self-Reporting and Cooperation with the SEC |
Faegre Drinker |
| Jun 8 2016 |
SEC Announces Settlement with Adviser Found to Have Acted as Unregistered Broker and Engaged in Conflicted Transactions |
Proskauer Rose LLP |
| Jun 8 2016 |
First Circuit Quietly Joins the “Personal Benefit” Fray |
Faegre Drinker |
| Jun 8 2016 |
California DBO Proposes Finders Exemption Regulations |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jun 6 2016 |
SEC Sends Warning to General Partners of Funds Receiving Finders’ and Other Fees |
Neal, Gerber & Eisenberg LLP |
| Jun 6 2016 |
Thanks For (Less Than) Nothing: Section 72001 of the FAST Act and the SEC’s Interim Final Rule. |
Morgan, Lewis & Bockius LLP |
| Jun 6 2016 |
CFTC Proposes To Allow Designated Contract Markets and Swap Execution Facilities To Recognize Certain Hedging and Spread Positions From Speculative Position Limits |
Katten |
| Jun 6 2016 |
Bridging Weeks: AML; DLT; Attempted Manipulation; Manipulative Device; Registration; EFRPs; Block Trades; Hedge Exemptions |
Katten |
| Jun 6 2016 |
Second Circuit Affirms Dismissal of Constitutional Challenge to SEC Administrative Proceedings |
Faegre Drinker |
| Jun 4 2016 |
ESMA Publishes Q&A on the Implementation of MAR |
Katten |
| Jun 3 2016 |
No Bounty For Purported Tipster |
Proskauer Rose LLP |
| Jun 3 2016 |
Federal Agencies Release Joint Proposed Rule on Financial Institution Incentive-Based Compensation |
Mintz |
| Jun 3 2016 |
Update: Eleventh Circuit Affirms Dismissal of Claims for Declaratory Relief and Disgorgement in SEC v. Graham |
Faegre Drinker |
| Jun 2 2016 |
SEC Enforcement Action Highlights Need for Private Equity Firms to Consider Broker-Dealer Registration |
Katten |
| Jun 2 2016 |
Mutual Fund Directors Must Be Vigilant in Addressing Risks |
Foley & Lardner LLP |
| Jun 2 2016 |
SEC Continues Focus on Conflicts of Interest and Adviser Fiduciary Duties |
Foley & Lardner LLP |
