| May 11 2021 |
First Circuit Adopts Prevailing Standard for Applicability of Federal Securities Laws to Foreign Investors, But Rejects Second Circuit’s Narrower Test |
Proskauer Rose LLP |
| May 10 2021 |
SEC’s Focus on Climate and Environmental, Social and Governance Issues |
Katz Banks Kumin LLP |
| May 10 2021 |
SEC Chairman Testifies About Digital Assets |
Hunton Andrews Kurth |
| May 6 2021 |
The Dog Ate My Financials: Dissembling Filers Sanctioned by the SEC |
Norris McLaughlin P.A. |
| May 4 2021 |
Failure to Cruise Past the Pleading Requirements in the Norwegian Cruise Lines Securities Class Action |
Proskauer Rose LLP |
| May 3 2021 |
Aligning ESG and 10-K Disclosures: A Perspective from a Chief Legal Officer |
Bracewell LLP |
| May 3 2021 |
May The Board Cancel A Declared Dividend? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| May 3 2021 |
Cryptocurrencies and Other Digital Assets: A New Regime |
Proskauer Rose LLP |
| Apr 30 2021 |
SEC Small Business Capital Formation Advisory Committee to Discuss Opportunities for Underrepresented Founders and Investors |
Katten |
| Apr 30 2021 |
Alex Oh Resigns From SEC; Melissa Hodgman Named Acting Director of Enforcement |
Katten |
| Apr 30 2021 |
Securities Litigation Update: Eighth Circuit Closes the Door on Securities Class Action Alleging Violation of Broker’s Duty of Best Execution, Highlighting Class Certification Challenges in Atypical Fraud Cases |
Cadwalader, Wickersham & Taft LLP |
| Apr 29 2021 |
Accounting and Auditing Enforcement Activity—2020 Review and Analysis |
Cornerstone Research |
| Apr 29 2021 |
Tightening the Reins: SEC Approves Proposed Rule Change to Clearing Agency Investment Policy |
Norris McLaughlin P.A. |
| Apr 28 2021 |
SEC Whistleblower Program Continues Record-breaking Performance Amid New Chair's Support |
Barnes & Thornburg LLP |
| Apr 27 2021 |
ESG Issues Become Leading Concern for SEC and CFTC: SEC Warns Investment Advisers and Funds About ESG Disclosures |
Katten |
| Apr 27 2021 |
SEC Approves NYSE’s Proposed Permanent Changes to Shareholder Approval Rules for Related Party and 20% Security Issuances and Clarifies Related Party Transactions Requirements |
Jones Walker LLP |
| Apr 27 2021 |
“I Robot:” The SEC Evaluates the First Law of Robotics |
Norris McLaughlin P.A. |
| Apr 27 2021 |
List Of Foreign Margin Stocks - Been A Long Time Gone |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Apr 23 2021 |
Gary Gensler Names Initial Senior Staff Members |
Katten |
| Apr 23 2021 |
Will Generic ESG Statements Lead to a Wave of Securities Litigation? |
Bracewell LLP |
| Apr 23 2021 |
Will Generic ESG Statements Lead to a Wave of Securities Litigation? |
Bracewell LLP |
| Apr 23 2021 |
CFTC Issues Conditional Relief From Reporting Fully Collateralized Binary Option Data to Swap Data Repositories |
Katten |
| Apr 23 2021 |
What is ESG and How Could It Impact You? |
Robinson & Cole LLP |
| Apr 23 2021 |
Alex Oh Named SEC Director of Enforcement |
Katten |
| Apr 23 2021 |
Securities Litigation Update: Southern District of New York Dismisses Putative Securities Class Action Alleging Sale of Unregistered Cryptocurrency, But Risk Remains for Crypto-Issuers and Exchanges |
Cadwalader, Wickersham & Taft LLP |
| Apr 23 2021 |
To SPAC or Not to SPAC: A Continuing Conversation with Mid-Sized PE Fund Managers About the SPAC Process (Part II) |
K&L Gates |
| Apr 22 2021 |
What’s in a Name? The SEC Warns Against Confusion in ESG Investments |
Norris McLaughlin P.A. |
| Apr 22 2021 |
Can An Article Or Bylaw Forum Selection Provision Bind Persons Who Are Not Yet Stockholders? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Apr 21 2021 |
What Is The "Applicable Filing Period" For A Foreign Corporation? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Apr 20 2021 |
Mitigating Environmental, Social, and Corporate Governance (ESG) Risks Through D&O Insurance |
Hunton Andrews Kurth |
| Apr 20 2021 |
SEC Makes Moves to Step Up ESG Enforcement |
Polsinelli PC |
| Apr 20 2021 |
Red Flags and SARs: The SEC Warns Broker/Dealers on AML |
Norris McLaughlin P.A. |
| Apr 20 2021 |
Recent Announcements by the SEC and DOL Highlight Emphasis on ESG Investing |
Vedder Price |
| Apr 20 2021 |
SEC Requests Comments on Potential Money Market Fund Reform Options |
Vedder Price |
| Apr 20 2021 |
SEC Position Allows Insurance Companies to Rely on Prior Mutual Fund Substitution Orders |
Vedder Price |
| Apr 20 2021 |
SEC Issues Statement and Request for Comment on Custody of Digital Assets by Special Purpose Broker-Dealers |
Vedder Price |
| Apr 19 2021 |
SEC Staff Seeks Industry Feedback on Cross Trade Practices |
Vedder Price |
| Apr 19 2021 |
SEC Staff No-Action Letter Permits Funds to Self-Custody Certain Loan Interests |
Vedder Price |
| Apr 19 2021 |
SEC's Division of Examinations Issues 2021 Examination Priorities |
Vedder Price |
| Apr 19 2021 |
SEC Speaks Out on SPACs, Highlights Legal Liability and Reporting Risks |
Proskauer Rose LLP |
| Apr 17 2021 |
SEC Approves Amendments to NYSE Shareholder Approval Rules for Certain Equity Issuances and Requirements for Related Party Transactions |
Katten |
| Apr 16 2021 |
SEC Statements Regarding SPACs Address Warrants and Projections |
Katten |
| Apr 16 2021 |
SEC Whistleblowers Receive $50 Million Payout, Second-Largest Award in Program History |
Kohn, Kohn & Colapinto |
| Apr 16 2021 |
Gary Gensler to Lead SEC |
Barnes & Thornburg LLP |
| Apr 15 2021 |
SEC Awards Joint Whistleblowers More Than $50 Million |
Proskauer Rose LLP |
| Apr 15 2021 |
Oops: NASDAQ Seeks to Correct a 2009 Error Re: ADR Listing Requirements |
Norris McLaughlin P.A. |
| Apr 14 2021 |
SEC Annual Examination Priorities for RIAs |
Miller Canfield |
| Apr 13 2021 |
IRS Actively Seeking Information Regarding Cryptocurrency Via John Doe Summonses |
Greenberg Traurig, LLP |
| Apr 13 2021 |
Who Are You and How Much Are You Paid? MSRB Proposes Regulation of Solicitor Municipal Advisors |
Norris McLaughlin P.A. |
| Apr 12 2021 |
SEC Whistleblower Chief Jane Norberg to Leave, Agency Announces |
Proskauer Rose LLP |
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