| Dec 2 2021 |
SIFMA, DTCC and ICI to Shorten U.S. Securities Settlement Cycle |
Cadwalader, Wickersham & Taft LLP |
| Dec 1 2021 |
SEC Awards $175,000 to Whistleblower for Independent Analysis |
Kohn, Kohn & Colapinto |
| Dec 1 2021 |
SEC Releases FY 2021 Whistleblower Program Annual Report |
Proskauer Rose LLP |
| Dec 1 2021 |
SEC Announces FY2021 Results With 7 Percent Increase in New Enforcement Actions |
Barnes & Thornburg LLP |
| Nov 30 2021 |
Good News and Bad News about Unclaimed Property in Wisconsin |
Foley & Lardner LLP |
| Nov 29 2021 |
Useful Reference Materials for Compliance with the New Derivatives Rule for “Limited Derivatives Users” |
Vedder Price |
| Nov 24 2021 |
SEC Awards $400,000 to Whistleblower Culpable in Ponzi Scheme They Reported |
Kohn, Kohn & Colapinto |
| Nov 23 2021 |
2021 SEC Enforcement Results – Takeaways for Fund Managers |
Proskauer Rose LLP |
| Nov 23 2021 |
DAOsing Rods and the Power of Enforcement Prediction |
Polsinelli PC |
| Nov 23 2021 |
SEC Rule Change to Clear Path for Investors on Corporate Boards |
Mintz |
| Nov 22 2021 |
SEC Awards Over $10 Million to Several Whistleblowers |
Kohn, Kohn & Colapinto |
| Nov 19 2021 |
SEC Staff Issues Update Regarding Withdrawal and Modification of Staff Letters Relating to New Adviser Marketing Rule |
Vedder Price |
| Nov 19 2021 |
SEC Proposes Amendments to Electronic Filing Requirements and Re-Proposes Certain Amendments to Reports of Institutional Investment Managers |
Vedder Price |
| Nov 19 2021 |
Division of Examinations Risk Alert Identifies Compliance Issues at Registered Investment Companies |
Vedder Price |
| Nov 19 2021 |
SEC Reports Significant Increases In FY2021 Whistleblower Program |
Jackson Lewis P.C. |
| Nov 19 2021 |
SEC Adopts Amendments to Filing Fee Disclosure and Payment Methods |
Vedder Price |
| Nov 19 2021 |
SEC Chair Gary Gensler Provides Statement on Complex Exchange-Traded Products |
Vedder Price |
| Nov 19 2021 |
FY2021 a Big Year for SEC Enforcement Efforts |
Kohn, Kohn & Colapinto |
| Nov 19 2021 |
ISDA Publishes Suggested Practices for SEC SBS Reporting Party Determinations |
Cadwalader, Wickersham & Taft LLP |
| Nov 19 2021 |
Investment Adviser Settles Charges for Mishandling MNPI |
Cadwalader, Wickersham & Taft LLP |
| Nov 19 2021 |
SIFMA Conducts Financial Sector Cybersecurity Exercise |
Cadwalader, Wickersham & Taft LLP |
| Nov 19 2021 |
SEC Highlights Spike in Whistleblower Tips in Fiscal Year 2021 |
Cadwalader, Wickersham & Taft LLP |
| Nov 19 2021 |
SEC Enforcement Report Touts Volume of New Actions and Increase in Penalties |
Cadwalader, Wickersham & Taft LLP |
| Nov 19 2021 |
SEC Proposes Amendments to Electronic Recordkeeping Requirements |
Cadwalader, Wickersham & Taft LLP |
| Nov 19 2021 |
SEC Proposes to Require Extensive Disclosures on Securities Loans |
Cadwalader, Wickersham & Taft LLP |
| Nov 18 2021 |
SEC Continues to Advance ESG Agenda |
Hunton Andrews Kurth |
| Nov 17 2021 |
SEC Actions Against Public Companies and Subsidiaries Declined Again in FY 2021 |
Cornerstone Research |
| Nov 17 2021 |
Implications of SEC’s Scrutiny of Data Use Representations |
Sheppard, Mullin, Richter & Hampton LLP |
| Nov 16 2021 |
SEC Chair Gensler Signals SEC Policies for Private Funds |
Proskauer Rose LLP |
| Nov 16 2021 |
SEC Issues Risk Alert on Investment Advisers that Provide Electronic Investment Advice |
Vedder Price |
| Nov 16 2021 |
SEC Whistleblower Program Attracts Record Number of Tips and Pays Record Awards in FY 2021 |
Zuckerman Law |
| Nov 15 2021 |
SEC Issues Risk Alert on Investment Advisers' Fee Calculations |
Vedder Price |
| Nov 15 2021 |
SEC Report Details Record-Shattering Year for Whistleblower Program |
Kohn, Kohn & Colapinto |
| Nov 15 2021 |
SEC Alleges Form 10 Was Misleading, But Is The SEC's Order Itself Misleading? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Nov 12 2021 |
SEC Halts DAO’s Registration of Two Stable Tokens as Securities, Alleging Material Deficiencies in the Disclosure |
Proskauer Rose LLP |
