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

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Apr
18
2016
 FINRA CEO Ketchum Clarifies How FINRA Will Assess a Firm’s Culture of Compliance Proskauer Rose LLP
Jan
16
2020
 [PODCAST] The CCPA for the Land Title Industry: Who Does the CCPA Apply To? (Part 1 of 4) Carlton Fields
Jun
28
2023
 Coinbase, Inc. v. Bielski: Interlocutory Appeals on the Question of Arbitrability Automatically Stay District Court Proceedings Katten
Feb
28
2024
 SEC Expands "Dealer" Definition to Capture Liquidity Providers K&L Gates LLP
Jun
26
2012
 Financial Services Legislative and Regulatory Update - June 25, 2012 Mintz
Oct
13
2020
 SEC Joint Statement on Form CRS and New FAQs & Upcoming Roundtable Faegre Drinker
Nov
28
2018
 Swiss Competition Commission investigates mobile payment apps Cadwalader, Wickersham & Taft LLP
Nov
16
2021
 OFAC Enforcement Impacts NFTs: As Crypto Enforcement Ramps Up to Combat Ransomware, Robust Compliance is Key Sheppard, Mullin, Richter & Hampton LLP
May
16
2025
 April 2025 ESG Policy Update—Australia K&L Gates LLP
Mar
1
2022
 Regulatory Shake-Out on Digital Assets: An Industry Waits for Additional Guidance Proskauer Rose LLP
Jul
16
2013
 Commodity Futures Trading Commission (CFTC) Expands No-Action Relief Granted to Foreign Boards of Trade (FBOT)s Katten
May
22
2014
 “Instrumentality” Explained: The Eleventh Circuit Interprets the Scope of the FCPA (Foreign Corrupt Practices Act) Neal, Gerber & Eisenberg LLP
Nov
10
2017
 SEC Staff Publishes New Guidance on Shareholder Proposals Katten
Jan
14
2021
 Section 162(m) Final Regulations Clarify Grandfathering Rules to Compensation Payable under Account Balance and Nonaccount Balance Nonqualified Plans Faegre Drinker
May
19
2021
 California District Court Again Dismisses ERISA Lawsuit Challenging 401(k) Plan’s Fees Jackson Lewis P.C.
Oct
31
2019
 Ninth Circuit Considers Re-Hearing Dorman V. Schwab Arbitration Decision McDermott Will & Schulte LLP
Sep
8
2021
 Division of Examinations Cautions Advisers on Compliance Deficiencies with Fixed Income and Principal Cross Trades Vedder Price
Feb
13
2025
 NYDFS Fines PayPal $2 Million for Cybersecurity Failures Hunton Andrews Kurth
Mar
24
2023
 IRS Issues Notice on Treatment of NFTs as Collectibles Foley & Lardner LLP
Feb
15
2013
 Department of Labor (DOL) Clarifies Application of ERISA Rules to Cleared Securities Swaps Morgan, Lewis & Bockius LLP
Dec
17
2015
 Tennessee District Court Limits Scope of Dodd-Frank Whistleblower Claim Proskauer Rose LLP
Apr
14
2017
 CFTC Releases No-Action Letter Regarding the Transfer of Customer-Owned Securities by FCMs to Foreign Brokers Katten
Aug
1
2017
 SEC and FINRA Continue to Root Out Bad Brokers Greenberg Traurig, LLP
Dec
16
2022
 The Continued Importance of PPP Appeals Epstein Becker & Green, P.C.
Mar
18
2014
 No New Statute of Limitations Each Time An Alleged Miscalculated Disability Benefit Is Paid Proskauer Rose LLP
Apr
27
2015
 Bridging the Week: April 20 to 24 and 27, 2015 (CFTC-SEC Merger, Spoofing, LIBOR Manipulation, Bitcoin, Exchange Non-Member Cooperation) Katten
Aug
17
2015
 When a Driver’s License Is More Than a Bad Picture: Is Your UCC Financing Statement Still Effective? Poyner Spruill LLP
Aug
29
2016
 Bail-In and Contractual Recognition: Impact on US and Other Non-EU Counterparties, Potential Impact of Brexit Katten
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