| Nov 11 2021 |
DOL Sets New Tone on ESG Investing and Proxy Voting with Recently Proposed Rule |
K&L Gates LLP |
| Nov 10 2021 |
SEC Awards More Than $15 Million to Two Whistleblowers |
Kohn, Kohn & Colapinto |
| Nov 10 2021 |
SEC Observes Compliance Deficiencies in Digital Investment Advisory Services |
Cadwalader, Wickersham & Taft LLP |
| Nov 10 2021 |
Exchange-Traded Fund and Its CPO Settle SEC and CFTC Charges of Inadequate Disclosure |
Cadwalader, Wickersham & Taft LLP |
| Nov 10 2021 |
SEC Halts Registration of Two Digital Tokens |
Cadwalader, Wickersham & Taft LLP |
| Nov 10 2021 |
SEC Commissioner Lee Reviews Scope of Reg BI in Light of Market Developments |
Cadwalader, Wickersham & Taft LLP |
| Nov 9 2021 |
Internal Affairs And Limited Partnerships |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Nov 9 2021 |
The SEC Joins DOJ's War on Corporate Offenders |
Bracewell LLP |
| Nov 9 2021 |
SEC Commissioner Crenshaw Urges "Responsible Innovation" in the DeFi Market |
Cadwalader, Wickersham & Taft LLP |
| Nov 9 2021 |
SEC Enforcement Director Rejects "Regulation by Enforcement" Criticism |
Cadwalader, Wickersham & Taft LLP |
| Nov 8 2021 |
SEC Cryptocurrency Enforcement: Q3 2021 Update |
Cornerstone Research |
| Nov 8 2021 |
SEC Approves PCAOB Rule Implementing Holding Foreign Companies Accountable Act |
Cadwalader, Wickersham & Taft LLP |
| Nov 8 2021 |
SEC Proposes Expanding Electronic Filing Requirements on IARD and EDGAR Systems |
Cadwalader, Wickersham & Taft LLP |
| Nov 6 2021 |
SEC Releases Shareholder Proposal Staff Legal Bulletin Regarding Rule 14a-8 Under the Exchange Act |
Womble Bond Dickinson (US) LLP |
| Nov 5 2021 |
SEC Determines That Shareholder Climate Change Proposals Should Not Be Excluded |
Mintz |
| Nov 5 2021 |
SEC Officials Highlight Regulatory Priorities for Asset Management |
Cadwalader, Wickersham & Taft LLP |
| Nov 5 2021 |
SEC Commissioner Peirce Weighs in on Crypto and More |
Cadwalader, Wickersham & Taft LLP |
| Nov 5 2021 |
SEC Updates Cleared CDS Exemptions |
Cadwalader, Wickersham & Taft LLP |
| Nov 4 2021 |
The Growing Risk of Securities Fraud Litigation Under Section 17(a) |
Oberheiden P.C. |
| Nov 3 2021 |
SEC Issues Risk Alert Regarding Registered Investment Companies |
Greenberg Traurig, LLP |
| Nov 3 2021 |
SEC Publishes Sample Letter to Companies on Environmental Disclosures |
Sheppard, Mullin, Richter & Hampton LLP |
| Nov 3 2021 |
The Confidentially Marketed Public Offering for the Smaller Reporting Company |
Stubbs Alderton & Markiles, LLP |
| Nov 3 2021 |
Security-Based Swap Rules for End-Users |
Sheppard, Mullin, Richter & Hampton LLP |
| Nov 2 2021 |
Securities Litigation Update: Divided Ninth Circuit Permits Direct-Listing Investors to Assert Securities Act Claims, Despite Inability to Differentiate Between Registered and Unregistered Shares |
Cadwalader, Wickersham & Taft LLP |
| Nov 1 2021 |
Don’t Abandon Whistleblowers Who Report Money Laundering Crimes |
Kohn, Kohn & Colapinto |
| Oct 29 2021 |
Will SPAC Restatements Trigger Shareholder Litigation? |
Cornerstone Research |
| Oct 29 2021 |
SEC Grants $2 Million Related Action Award to Whistleblower Based on 2020 Rule |
Kohn, Kohn & Colapinto |
| Oct 29 2021 |
FICC Settles SEC Charges for Liquidity Policy and Risk Management Failures |
Cadwalader, Wickersham & Taft LLP |
| Oct 28 2021 |
What's Under the Canoe? |
Bracewell LLP |
| Oct 28 2021 |
SEC Issues Two Separate Whistleblower Awards |
Kohn, Kohn & Colapinto |
| Oct 26 2021 |
DFPI Issues Cryptic Cryptocurrency Warning |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 25 2021 |
SEC Awards Over $1.5 Million to Joint Whistleblowers |
Kohn, Kohn & Colapinto |
| Oct 25 2021 |
CFTC Whistleblower Reward Program: What Violations Qualify for an Award? |
Zuckerman Law |
| Oct 23 2021 |
SEC Commissioner Lee Highlights Role of Prior Efforts in Develop SEC Climate Disclosure Regulations |
Mintz |
| Oct 22 2021 |
CFTC Shows Whistleblowers the Money: Implications of Record $200 Million Award |
Zuckerman Law |
