Feb 15 2024 |
SFC Circular on SFC-Authorized Funds with Exposure to Virtual Assets-Part 1 |
K&L Gates |
Feb 14 2024 |
SEC Adopts New Rules Regarding SPAC Transactions |
Barnes & Thornburg LLP |
Feb 14 2024 |
SEC Enforcement Targets Anti-Whistleblower Practices in Financial Firm's Release Agreements with Retail Clients |
K&L Gates |
Feb 14 2024 |
U.S. Supreme Court Holds SOX Whistleblowers Not Required to Show Retaliatory Intent (US) |
Squire Patton Boggs (US) LLP |
Feb 14 2024 |
SEC Expands “Dealer” Definition |
Hunton Andrews Kurth |
Feb 13 2024 |
Frequently Asked Questions for Private Companies Considering a Reverse Merger |
Mintz |
Feb 13 2024 |
SEC Enforcement Targets Anti-Whistleblower Practices in Financial Firm's Settlement Agreements with Retail Clients by Imposing Highest Penalty in Standalone Enforcement Action Under Exchange Act Rule 21 F-17(a) |
K&L Gates |
Feb 13 2024 |
Blowing the Whistle on AI Investment Fraud |
Kohn, Kohn & Colapinto |
Feb 12 2024 |
Fifth Circuit Court of Appeals Hears Oral Arguments in Industry Groups' Ongoing Petition to Vacate Private Fund Adviser Rules |
K&L Gates |
Feb 12 2024 |
Maximizing the Fee: Royal Bank of Canada Affiliate Pays $30+ Million for Client Abuse |
Norris McLaughlin P.A. |
Feb 12 2024 |
Really Bad Counting: SEC Sanctions Royal Bank of Canada for Accounting Violations |
Norris McLaughlin P.A. |
Feb 9 2024 |
SEC Adopts Final Rules Related to SPAC IPOs and De-SPAC Transactions |
Robinson & Cole LLP |
Feb 9 2024 |
Supreme Court Rules ‘Retaliatory Intent’ Not Required for Securities Whistleblower Protection |
Ogletree, Deakins, Nash, Smoak & Stewart, P.C. |
Feb 8 2024 |
Blockchain+ Bi-Weekly February 8, 2024 |
Polsinelli PC |
Feb 8 2024 |
Amicus Brief Outlines Congressional Intent for Burden of Proof in SOX Whistleblower Cases |
Kohn, Kohn & Colapinto |
Feb 8 2024 |
Non-Financial Corporate Reporting for U.S. Companies – Where to Start? |
Proskauer Rose LLP |
Feb 8 2024 |
EnforceMintz — 2023 Brings Uptick in Cybersecurity Enforcement, Insight Into Potential Risks |
Mintz |
Feb 8 2024 |
Lawmakers Introduce Resolution to Nullify SEC’s Crypto Accounting Bulletin |
Greenberg Traurig, LLP |
Feb 7 2024 |
SEC Expands Definition of Dealers and Government Securities Dealers |
K&L Gates |
Feb 5 2024 |
SEC and FINRA Broker-Dealer Enforcement: Recapping 2023 and Previewing 2024 |
K&L Gates |
Feb 5 2024 |
2023 Retail Industry Year in Review |
Hunton Andrews Kurth |
Feb 5 2024 |
Does the Securities Exchange Act of 1934 Preclude Actions in State Court Under Corporations Code Section 25401? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Feb 2 2024 |
ExxonMobil Strikes Back: Energy Companies Take a More Proactive Approach to Activist ESG Shareholders |
Bracewell LLP |
Feb 2 2024 |
Groundbreaking SEC Decision Approves Spot Bitcoin ETP Trading |
ArentFox Schiff LLP |
Feb 1 2024 |
Federal Court Holds Terraform Crypto Assets are Securities Including Stablecoin in Combination with Related Yield Protocol |
Barnes & Thornburg LLP |
Jan 31 2024 |
SEC Adopts Final Rules Regarding SPACs and De-SPAC Transactions to Impose Additional Disclosure and Reporting Requirements |
K&L Gates |
Jan 31 2024 |
French Insider Episode 29: Navigating Global Capital Markets with Erik Sloane of Cboe Global Markets [PODCAST] |
Sheppard, Mullin, Richter & Hampton LLP |
Jan 31 2024 |
Who Decides Which Coin is a Security? [Podcast] |
Foley & Lardner LLP |
Jan 31 2024 |
5 Trends to Watch: 2024 Financial Services Litigation |
Greenberg Traurig, LLP |
Jan 30 2024 |
Open Meeting Report: SEC Approves SPAC Final Rules in 3-2 Vote |
ArentFox Schiff LLP |
Jan 29 2024 |
Legal Considerations for GCs and CFOs in the Fashion and Retail Industry in 2024 |
ArentFox Schiff LLP |
Jan 29 2024 |
Industry Groups File First Reply to SEC in Ongoing Petition Against New Private Fund Adviser Rules |
K&L Gates |
Jan 29 2024 |
India’s Securities Regulator Revisits Market Rumour Verification Regime for Listed Companies |
Nishith Desai Associates |
Jan 29 2024 |
ExxonMobil Files Lawsuit to Block Shareholder Proposal Concerning Greenhouse Gas Emissions |
Mintz |
Jan 29 2024 |
ACCELERATING EMMA: Time and Price in Municipal Securities Transactions |
Norris McLaughlin P.A. |
Jan 29 2024 |
Is "Degrowth" About To Grow? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Jan 27 2024 |
SEC Takes on Nondisclosure Agreements to Protect Whistleblower Program; Fines Firm $10 Million |
Ogletree, Deakins, Nash, Smoak & Stewart, P.C. |
Jan 26 2024 |
5 Trends to Watch: 2024 Data Privacy & Cybersecurity |
Greenberg Traurig, LLP |
Jan 26 2024 |
The Court of Appeal Judgment in the Adler Restructuring Plan: Pari Passu is Back! |
Cadwalader, Wickersham & Taft LLP |
Jan 26 2024 |
SEC Adopts New SPAC Rules |
Proskauer Rose LLP |
Jan 26 2024 |
Democratic Senators Criticize Proposed SEC Disclosure Rule for Scope 3 Greenhouse Gas Emissions |
Mintz |
Jan 26 2024 |
5 Things to Consider When Looking for a Wall Street Whistleblower Lawyer |
Oberheiden P.C. |
Jan 25 2024 |
Staying Afloat in an Uncertain Economic World: Hope for the Best, Prepare for the Worst Private Credit Restructuring Year in Review |
Proskauer Rose LLP |
Jan 25 2024 |
Regulatory Quick Takes |
Cadwalader, Wickersham & Taft LLP |
Jan 25 2024 |
International Regulators’ Recommendations and Guidance on Liquidity Mismatch Mitigation Measures |
Cadwalader, Wickersham & Taft LLP |
Jan 25 2024 |
The SEC Raises the Stakes: New Cybersecurity Rules for Publicly Traded Companies Hit the Books in 2023 |
Polsinelli PC |
Jan 25 2024 |
FINRA’s Findings: Member Firms Get Failing Grade in Crypto Communications |
K&L Gates |
Jan 25 2024 |
Blockchain+ Bi-Weekly January 25, 2024 |
Polsinelli PC |
Jan 25 2024 |
FINRA Continues Focus on Crypto Asset Securities |
Hunton Andrews Kurth |
Jan 25 2024 |
SEC's Settlement with Barnbridge Dao: Implications for the Future of DeFi |
K&L Gates |