| Aug 16 2021 |
SEC Increases Financial Thresholds for Qualified Clients |
Winstead |
| Aug 16 2021 |
SEC’s French Order is First Ever Substituted Compliance Determination in Connection with Capital and Margin Requirements |
Sheppard, Mullin, Richter & Hampton LLP |
| Aug 16 2021 |
SEC Approves Nasdaq's Board Diversity Disclosure Requirements |
Katten |
| Aug 15 2021 |
How to Report Spoofing and Earn an SEC Whistleblower Award |
Zuckerman Law |
| Aug 13 2021 |
SEC Increases Registered Investment Adviser Performance Compensation Net-Worth and Assets-Under-Management Tests |
Katten |
| Aug 13 2021 |
SEC Brings Charges against Allegedly Fraudulent Unregistered Decentralized Finance Project That Ran on the Ethereum Platform |
Proskauer Rose LLP |
| Aug 12 2021 |
Executive Stock Sales Are Under Scrutiny. Here’s What Regulators Are Interested In. |
Mintz |
| Aug 12 2021 |
Collateral Damage: SEC Sanctions “Varsity Blues” Parent |
Norris McLaughlin P.A. |
| Aug 12 2021 |
SEC Chair’s Remarks Suggest Crypto is the “Wild West,” Signaling Future Enforcement and Desire for Enhanced Regulatory Authority |
Proskauer Rose LLP |
| Aug 12 2021 |
Regulators Continue Crackdown on Crypto Exchanges |
Hunton Andrews Kurth |
| Aug 12 2021 |
SEC’s Division of Examinations Publishes Risk Alert on Investment Adviser Principal and Cross Trading Practices |
Proskauer Rose LLP |
| Aug 11 2021 |
SEC Approves Nasdaq Board Diversity Requirements |
Bracewell LLP |
| Aug 11 2021 |
SEC Approves Nasdaq’s Proposed Rule Changes to Increase Corporate Board Diversity |
Cadwalader, Wickersham & Taft LLP |
| Aug 11 2021 |
SEC Alleges Employer’s Compliance Manual Violates Rule 21F-17 |
Proskauer Rose LLP |
| Aug 11 2021 |
Dissolution And Limitations On Distributions To Shareholders |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Aug 10 2021 |
International Whistleblowers Receive Awards Totaling Nearly $6 Million |
Kohn, Kohn & Colapinto |
| Aug 10 2021 |
SEC Greenlights Board Diversity Requirements |
Proskauer Rose LLP |
| Aug 10 2021 |
CA Federal Court Dismisses Whistleblower Claims After Bench Trial |
Proskauer Rose LLP |
| Aug 9 2021 |
SEC Approves NASDAQ Board Diversity Proposal Over Significant Dissent |
Mintz |
| Aug 9 2021 |
IPCC Sixth Assessment Report Emphasizes Dangers of Climate Change |
Mintz |
| Aug 9 2021 |
My Business Partner May Not Be Stealing, but He Is Breaking the Law |
Norris McLaughlin P.A. |
| Aug 9 2021 |
SEC Approves Nasdaq Board Diversity Proposals |
Jones Walker LLP |
| Aug 9 2021 |
SEC Approves New Nasdaq Board Diversity Disclosure Rules |
McDermott Will & Schulte LLP |
| Aug 6 2021 |
SDNY: SOX Whistleblower Protections Extend to Investors |
Proskauer Rose LLP |
| Aug 6 2021 |
SEC Enforcement Actions Highlight Regulatory Focus on Form CRS and Regulation Best Interest |
Katten |
| Aug 5 2021 |
Gateway for Spacs in India: New Framework Notified in Gift City |
Nishith Desai Associates |
| Aug 4 2021 |
Looking For Stiffer Loan Terms? Nevada May Be Able To Help |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Aug 3 2021 |
Second Circuit Upholds Enforceability of SEC Tolling Agreements |
Sheppard, Mullin, Richter & Hampton LLP |
| Aug 3 2021 |
How Will the SEC Drive ESG Progress? First, We Measure |
Barnes & Thornburg LLP |
| Aug 3 2021 |
Insider Tips: And That IS Bull |
Norris McLaughlin P.A. |
| Aug 2 2021 |
Immense Support Shown for Whistleblowers at Historic Three-Day Event |
Kohn, Kohn & Colapinto |
| Aug 2 2021 |
Back in the Saddle: SEC’s Whistleblower Program Is in Full Swing Under the Biden Administration |
Epstein Becker & Green, P.C. |
| Jul 30 2021 |
Review of Recent Whistleblower Developments - July 2021 |
Foley & Lardner LLP |
| Jul 30 2021 |
SEC Chairman Gensler Offers Guidance On Potential Climate Risk Disclosures |
Mintz |
| Jul 30 2021 |
New York Courts Continue to Enforce Broad General Releases, Even When Claims are Unforeseeable at the Time of Contract Execution |
Sheppard, Mullin, Richter & Hampton LLP |
