Jan 29 2010 |
Divided SEC Adopts Guidance on Climate Disclosure, But Uncertainty Remains |
Bracewell LLP |
Mar 24 2023 |
Divided SEC Proposes Slew of Cybersecurity Regulations for Securities Market Entities |
Squire Patton Boggs (US) LLP |
Aug 15 2023 |
Diving into SECURE 2.0: More Changes That Will Help Make 401(k) Plan Administration Simpler and Other Possible Changes of Which to Be Aware Of |
Foley & Lardner LLP |
Jun 20 2018 |
Division of Corporate Finance Releases Updated C&DIs |
Proskauer Rose LLP |
Dec 5 2020 |
Division of Corporation Finance Issues Disclosure Consideration for China-Based Issuers |
Katten |
Sep 8 2021 |
Division of Examinations Cautions Advisers on Compliance Deficiencies with Fixed Income and Principal Cross Trades |
Vedder Price |
Jan 8 2021 |
Division of Examinations Issues Risk Alert on Securities Investment that Finance Communist Chinese Military Companies |
Foley & Lardner LLP |
Sep 8 2021 |
Division of Examinations Risk Alert Identifies Common Deficient Practices with Wrap Fee Programs |
Vedder Price |
Nov 19 2021 |
Division of Examinations Risk Alert Identifies Compliance Issues at Registered Investment Companies |
Vedder Price |
Apr 8 2016 |
Division of Investment Management Issues Guidance on Fund Disclosure Reflecting Risks Related to Current Market Conditions |
Vedder Price |
Feb 9 2016 |
Division of Investment Management Issues Guidance on Oversight of Distribution Fees and Intermediary Payments |
Vedder Price |
Jul 14 2015 |
Division of Investment Management Issues Guidance on Personal Trade Reporting of Accounts Over Which Access Persons Have No Influence or Control |
Vedder Price |
Nov 7 2014 |
Division of Investment Management Issues Guidance on the Presentation of Consolidated Financial Statements |
Vedder Price |
Apr 8 2014 |
Division of Investment Management Issues Guidance Regarding Aggregate Advisory Fee Rates for Multi-Manager Funds |
Vedder Price |
Oct 8 2013 |
Division of Investment Management Issues Guidance Regarding Certain Disclosure and Compliance Matters for Funds That Invest in Derivatives |
Vedder Price |
Dec 9 2013 |
Division of Investment Management Issues Guidance Regarding Electronic Delivery of Shareholder Notices of the Sources of Fund Distributions |
Vedder Price |
Jul 9 2014 |
Division of Investment Management Issues Guidance Regarding Enhanced Mutual Fund Disclosure |
Vedder Price |
May 9 2014 |
Division of Investment Management Issues Guidance Regarding Fund Deregistrations |
Vedder Price |
Dec 9 2013 |
Division of Investment Management Issues Guidance Regarding Fund Names That Suggest Protection from Loss |
Vedder Price |
Nov 7 2014 |
Division of Investment Management Issues Guidance Regarding Mixed and Shared Funding Orders |
Vedder Price |
Feb 10 2014 |
Division of Investment Management Issues Guidance Regarding Risk Management for Fixed Income Funds |
Vedder Price |
Mar 6 2014 |
Division of Investment Management Issues Guidance Regarding Unbundling of Proxy Proposals with Respect to Fund Charter Amendments |
Vedder Price |
Jul 21 2016 |
Division of Investment Management Issues Guidance Update Concerning Business Continuity Planning for Funds |
Vedder Price |
May 12 2015 |
Division of Investment Management Publishes FAQs on Valuation Guidance Included in the 2014 Release Adopting Money Market Fund Reforms |
Vedder Price |
Aug 18 2017 |
Division of Investment Management Releases Investment Company Reporting Modernization FAQs |
Vedder Price |
May 12 2015 |
Division of Investment Management Releases Money Market Fund Reform FAQs |
Vedder Price |
Jan 19 2018 |
Division of Investment Management Staff Issues Liquidity Risk Management Program FAQs |
Vedder Price |
Nov 20 2017 |
Division of Investment Management Staff Issues No-Action Letter Permitting Aggregation of Client Orders for Securities Transactions Subject to MiFID II |
Vedder Price |
Jul 14 2019 |
Division of Trading and Markets and FINRA Staffs Issue Joint Statement on Broker-Dealer Custody of Digital Asset Securities |
Katten |
Nov 20 2017 |
Division of Trading and Markets Staff Provides No-Action Assurance Concerning MiFID II-Compliant Research Payments and Section 28(e)’s Safe Harbor |
Vedder Price |
Jun 8 2020 |
Do California Courts Classify Promissory Notes As Securities Based On Their Phenotype? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Dec 5 2014 |
Do Conflicting Experts Preclude Summary Judgment? |
IMS Legal Strategies |
Aug 5 2015 |
Do De Facto Officers Owe Fiduciary Duties? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Mar 24 2015 |
Do Founders Really Control Their Company with 51% Ownership? |
Foley & Lardner LLP |
Aug 8 2017 |
Do I Have To Report Violation To My Company Before Reporting to SEC Whistleblower Office? - Chapter 11 |
Zuckerman Law |
Jun 29 2015 |
Do Investment Advisers Automatically Have Fiduciary Duties to Their Clients? |
Brooks, Pierce, McLendon, Humphrey & Leonard, LLP |
May 25 2018 |
Do Mandatory Retirement Age Requirements For Directors Violate California Law? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Dec 2 2013 |
Do Overseas Investors Need to be "Accredited"? |
Greenberg Traurig, LLP |
Oct 2 2015 |
Do Public Pension Funds Breach Their Fiduciary Duties By Pursuing Social Issue Proposals? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
May 26 2016 |
Do State Courts Lack Subject Matter Jurisdiction Over Covered Class Actions That Allege Only ’33 Act Claims? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Dec 5 2022 |
Do You Have the Rights? how To Maintain Investor Confidence when Using Third-Party Intellectual Property |
Mintz |
Apr 14 2015 |
Do Your Bylaws Make Obtaining Waivers Of Notice More Onerous? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Apr 22 2020 |
Do Your Due Diligence: U.S. Securities and Exchange Commission Warns Main Street Investors About COVID-19-Related Fraud |
Norris McLaughlin P.A. |
Nov 19 2020 |
Documenting Rollover Recommendations: The DOL and SEC Requirements |
Faegre Drinker |
Oct 31 2011 |
Dodd Frank Update — Several Developments of Note: |
Greenberg Traurig, LLP |
Aug 24 2011 |
Dodd Frank – Several Developments of Note |
Greenberg Traurig, LLP |
Jul 15 2015 |
Dodd-Frank 180-Day “Deadline” For SEC to Take Action Not Really a Deadline After All |
Faegre Drinker |
Apr 20 2017 |
Dodd-Frank Act Claims, Non-SEC Whistleblowers, False Claims Act Appeal: Review of Recent Whistleblower Developments April 2017 |
Foley & Lardner LLP |
Jul 20 2012 |
Dodd-Frank Act Derivatives Provisions for End Users as of July 16, 2012 |
McDermott Will & Emery |
Aug 9 2010 |
Dodd-Frank Act Raises Major Executive Compensation Issues |
Vedder Price |