| May 24 2015 |
SEC Proposes Amendments to Form ADV and Performance Information Recordkeeping Requirements |
Proskauer Rose LLP |
| Jan 23 2015 |
SEC Proposes Amendments to Registration Requirements Further Implementing the JOBS Act |
Greenberg Traurig, LLP |
| Mar 28 2015 |
SEC Regulation A+: More Access to Capital for Small Companies With Less Regulation? |
Dinsmore & Shohl LLP |
| Sep 28 2011 |
SEC Rulemaking: Guide to Newly Effective Eligibility Criteria to Replace Credit Ratings in Public Offerings |
Sheppard, Mullin, Richter & Hampton LLP |
| Feb 24 2017 |
SEC Whistleblower Program: What is the SEC Form TCR? |
Zuckerman Law |
| Jan 30 2014 |
Section 162(m): Actions that Should be Taken by March 31, 2014, and/or in this Year's Proxy to Avoid the $1,000,000 Deduction Limitation |
Greenberg Traurig, LLP |
| Jul 23 2013 |
Securities and Exchange Commission (SEC) Adopts Rules Permitting General Solicitation in Private Offerings Limited to Purchases by Accredited Investors |
Mintz |
| Oct 14 2020 |
Securities and Exchange Commission Rescinds Guide 3 |
Dinsmore & Shohl LLP |
| Jun 30 2014 |
Six Things SEC Chair White Wants Directors to Know About How to Avoid Being on the Receiving End of an Enforcement Action |
Barnes & Thornburg LLP |
| Mar 25 2011 |
SPACs 2.0: New SPAC Rules Changes Approved By NASDAQ And NYSE AMEX And New Market Features Make SPACs A More Attractive Investment Vehicle In 2011 |
Sheppard, Mullin, Richter & Hampton LLP |
| Jul 9 2018 |
Supreme Court Decides Lucia – But the Saga Continues |
Barnes & Thornburg LLP |
| Nov 28 2013 |
Target Date Retirement Funds–Tips for Employee Retirement Income Security Act (ERISA) Plan Fiduciaries |
Faegre Drinker |
| Jun 3 2012 |
The Commodity Futures Trading Commission "CFTC" Rescinds Popular CPO Exemption |
ArentFox Schiff LLP |
| Jul 15 2014 |
The Consumer Financial Protection Bureau (CFPB), Recent Developments: June 16, 2014 - June 20, 2014 |
Greenberg Traurig, LLP |
| Apr 10 2012 |
The Jobs Act: Improving Access to Capital Markets for Emerging Growth Companies |
Greenberg Traurig, LLP |
| Sep 16 2016 |
The SEC Remains Active with Whistleblowers |
Hunton Andrews Kurth |
| Aug 3 2020 |
The SEC’s 2020 Amendments to Proxy Rules and Supplemental Guidance to Investment Advisers on Proxy Voting Responsibilities |
Greenberg Traurig, LLP |
| Jul 26 2022 |
Time to Evaluate Your Filer Status for Next Year |
Mintz |
| Jan 16 2014 |
U.S. District Court in Atlanta Rules against the SEC in an Insider Trading Case, Describing the SEC's Evidence as 'Overreaching' and 'Self-Serving' |
Greenberg Traurig, LLP |
| Mar 11 2016 |
U.S. Futures Exchanges Disciplinary Actions Report: February 2016 |
Bracewell LLP |
| Jun 12 2017 |
U.S. Supreme Court Delivers Blow Limiting SEC Disgorgement Power |
Barnes & Thornburg LLP |
| Mar 7 2018 |
Undisclosed (and Disclosed) 12b-1 Fees: The Different Views of the SEC and DOL - Interesting Angles on the DOL’s Fiduciary Rule #82 |
Faegre Drinker |
| Oct 18 2019 |
Waiver of Appraisal Rights in a Stockholder Agreement is Enforceable Under Delaware Law |
K&L Gates |
| Jun 21 2021 |
Weekly Bankruptcy Alert - June 20, 2021 |
Pierce Atwood LLP |
| Jul 28 2022 |
"All Purchasers" Does Not Always Mean All Purchasers |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 16 2013 |
"Bad Boy" Associates Can Now Disqualify Your Securities Act 506 Exemption |
Lowndes, Drosdick, Doster, Kantor & Reed, P.A. |
| Jan 7 2021 |
"Gig" Workers May Become Eligible to Receive Equity Compensation |
Mintz |
| Jul 5 2022 |
"The Changing Landscape of Activism: A Conversation with Alliance Advisors," Jones Walker LLP Banking & Financial Services Newsletter |
Jones Walker LLP |
| Jan 25 2023 |
"The Horror! The Horror!" - Scholars Accuse Twitter Directors Of Putting Stockholders First! |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jan 19 2021 |
$125 Million Deutsche Bank Settlement with SEC/DOJ Newest in Line of Several Costly Resolutions |
Faegre Drinker |
| Apr 16 2012 |
$25 Billion Mortgage Fraud Settlement Marks Turning Point for Industry |
Ifrah Law |
| May 28 2016 |
$3.5 Million Awarded to Whistleblower Who Was Initially Rebuffed by SEC |
Faegre Drinker |
| Mar 28 2023 |
$35M SEC Settlement Underscores Processes, Procedures Ensuring Appropriate Public Disclosures |
Jackson Lewis P.C. |
| May 28 2019 |
$4.5M SEC Whistleblower Award Underscores Incentives to Report Internally |
Zuckerman Law |
| Apr 16 2020 |
$400 Million Awarded to SEC Whistleblowers |
Zuckerman Law |
| Jun 3 2011 |
$400 Million in New Venture Capital Money |
Michael Best & Friedrich LLP |
| Apr 10 2024 |
$6.5 Million Texting Penalty: Investment Adviser Charged by SEC for Recordkeeping Failures |
Stark & Stark |
| Jun 23 2013 |
$720,000 Civil Penalty for Failure to File Hart-Scott-Rodino (HSR) |
McDermott Will & Emery |
| Dec 12 2022 |
'No Exit': SEC Sanctions Investment Adviser for Impeding University Investors from Departing a Private Fund |
Norris McLaughlin P.A. |
| Sep 12 2013 |
'Skin in the Game' Credit Risk Retention Rules Re-Proposed |
Greenberg Traurig, LLP |
| Jul 17 2023 |
(UK) How Qualifying Is Your Floating Charge? |
Squire Patton Boggs (US) LLP |
| May 25 2023 |
(UK) Pensions – A Pot to Play for? |
Squire Patton Boggs (US) LLP |
| Sep 29 2014 |
1, 2 or 3 Years? How Should Boards Decide The Frequency Of Say-On-Pay Votes? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jan 4 2024 |
10 FINRA Investigation Defense Strategies |
Oberheiden P.C. |
| Jul 18 2011 |
10 Social Media Must Haves For Your Corporate Compliance And Ethics Program |
Sheppard, Mullin, Richter & Hampton LLP |
| Feb 2 2021 |
10 Steps for Responding to an SEC Subpoena: What Do You Need to Know? |
Oberheiden P.C. |
| Jan 4 2015 |
10 Tips for Entrepreneurs Seeking Capital |
Greenberg Traurig, LLP |
| Dec 29 2016 |
10th Circuit Holds SEC ALJs Are Holding Office Unconstitutionally |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Aug 13 2014 |
10th Circuit Relies On Earnings Release and Compliance with Regulation S-K to Reject Claim of Material Omissions in Public Offering |
Morgan, Lewis & Bockius LLP |
| Aug 21 2014 |
11th Circuit in Florida Opts for Flexibility over Predictability in Securities Fraud Class Actions |
Bilzin Sumberg |
For hourly updates on the latest news about securities/SEC regulations, corporate & business law, compliance and more securities & business law news, be sure to follow our Finance and Securities Law Twitter feed and sign up for complimentary e-news bulletins.
