Recent Corporate Law, Securities/SEC, & Financial Institution Law News

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Jan
4
2024
 10 FINRA Investigation Defense Strategies Oberheiden P.C.
Mar
23
2013
 Commodity Futures Trading Commission (CFTC) Grants Relief from Required Clearing for Swaps Resulting from Multilateral Portfolio Compression Katten
Jan
19
2016
 Second Circuit Rejects Riley Appeal over Personal-Benefit Standard for Insider Trading Proskauer Rose LLP
Jan
23
2017
 Second Circuit Adopts Narrow Interpretation of Trust Indenture Act Provision Intended to Protect Bondholders Katten
Jun
18
2018
 President Trump’s expected nomination of Kathy Kraninger as CFPB Director extends Mick Mulvaney’s Acting Director tenure Ballard Spahr LLP
Aug
24
2023
 Federal Regulators Solicit Comments Regarding Healthcare Point-of-Sale Financing Bradley Arant Boult Cummings LLP
Nov
26
2024
 SEC Issues Risk Alert About Greenwashing and ESG Disclosures Mintz
Sep
12
2025
 UK OFSI Enforcement Underscores Need for Effective Sanctions Screening and Controls Greenberg Traurig, LLP
Sep
11
2015
 FFIEC and Member Agencies Propose Call Report Changes Katten
Oct
6
2016
 U.S. Supreme Court Revisits Insider Trading in Salman Barnes & Thornburg LLP
Feb
15
2018
 SEC Amendments to Form ADV: What’s New? Faegre Drinker
Oct
7
2022
 Can You Defer Bitcoin or Crypto Capital Gains Taxes? Oberheiden P.C.
May
31
2024
 CFPB Opens Public Probe on Closing Fees Sheppard, Mullin, Richter & Hampton LLP
Jun
2
2009
 Maximizing Your Position in a Tough Economy: Eight Strategies Every Business Should Consider Much Shelist, P.C.
Oct
26
2014
 SEC Announces Record Number of Enforcement Actions in FY 2014 Katten
Jun
3
2015
 ERISA Fiduciaries Have Ongoing Duty to Monitor Plan Investments Squire Patton Boggs (US) LLP
May
20
2016
 SEC Division of Corporation Finance Issues 12 New and Revised C&DIs Regarding Non-GAAP Measures Katten
May
30
2019
 To Call or Not to Call: the NPRM's Proposed Call Frequency and Time/Place Limitations Ballard Spahr LLP
Jun
25
2020
 UK FCA Discussion Paper on UK Prudential Regime for Investment Firms Proskauer Rose LLP
Apr
11
2023
 COVID-19 National Emergency Ends Sooner than Anticipated, Creating Risks for Mortgage Servicers Bradley Arant Boult Cummings LLP
May
29
2025
 DOL Rescinds 2022 Guidance Cautioning Against 401(k) Plan Investments in Cryptocurrencies Proskauer Rose LLP
Jan
29
2015
 Invalidating a Patent on a Motion to Dismiss Is Proper: Content Extraction and Transmission LLC v. Wells Fargo Bank McDermott Will & Schulte LLP
May
4
2020
 COVID-19 Economic Stimulus: Federal Reserve Expands Scope and Eligibility for Its Main Street Lending Program Greenberg Traurig, LLP
Aug
21
2020
 2019 Accounting and Auditing Enforcement Activity [PODCAST] Cornerstone Research
Jan
21
2021
 The Second Phase of the SEC’s Reg BI Exams Faegre Drinker
Jan
9
2023
 Will We See the Predicted M&A Spike in 2023? Foley & Lardner LLP
Nov
9
2021
 Broker-Dealer Settles FINRA Charges for Supervisory Violations on Unsuitable and Excessive Trading Cadwalader, Wickersham & Taft LLP
Jan
25
2017
 United States V. Newman (Part 2): Insider Trading Cartoon Series, Vol. 15 Brooks, Pierce, McLendon, Humphrey & Leonard, LLP
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