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

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May
8
2020
 Why Your Stock Certificate Is Not A Security Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
22
2020
 The Capital Gains Rate - Historical Perspectives on "Retroactive" Changes K&L Gates LLP
Oct
7
2022
 CFPB Supervisory Examinations Find Violations by Student Loan Servicers and University-Owned Lenders Sheppard, Mullin, Richter & Hampton LLP
Oct
18
2016
 Ceresney Warning: Expect Continued SEC Enforcement Activity Regarding Municipal Securities Barnes & Thornburg LLP
Sep
18
2017
 California Legislature Passes “California DISCLOSE Act,” a Complex but Clarifying Update to the State’s Political Advertising Disclosure Rules Covington & Burling LLP
Jun
2
2025
 Can There be Only One? The CFTC Faces an Unprecedented Moment with Potentially One Commissioner Katten
Jun
6
2016
 Saudi Arabia’s Vision 2030 — Ambitions to Modernize and Diversify the Economy Covington & Burling LLP
Apr
13
2023
 How Securities Firms Can Comply with OFAC in 2024 and Avoid FINRA Scrutiny Oberheiden P.C.
Jan
11
2024
 HHS-OIG Determines Consultant’s Gift Cards Given To Physicians Recommending Services Do Not Implicate Anti-Kickback Statute Barnes & Thornburg LLP
Feb
13
2016
 Japan Financial Services Agency Finalizes Amendments to the Article 63 Exemption Morgan, Lewis & Bockius LLP
Jun
9
2017
 Office of Comptroller of Currency Issues FAQs on Managing Third-Party Relationships Katten
Jul
5
2018
 California Federal Court Grants Motion to Compel Arbitration of Dodd-Frank Whistleblower Claim Proskauer Rose LLP
Aug
25
2023
 SEC Adopts Extensive New Rules for Investment Advisers to “Private Funds,” but Excludes CLOs and Other “Securitized Asset Funds” from Those Rules Cadwalader, Wickersham & Taft LLP
May
31
2024
 Weekly IRS Roundup May 20 – May 24, 2024 McDermott Will & Schulte LLP
Apr
17
2013
 Cheek Survives Concepcion: What Broker-Dealers Need To Know About Enforcing Arbitration Agreements In Maryland Greenberg Traurig, LLP
Apr
4
2014
 Agencies Issue Interim Final TruPs CDOs Rule, Effective April 1 - Trust Preferred Securities Collateralized Debt Obligations Katten
Sep
29
2015
 Five Advantages to Section 18 of the Securities Act – A New Weapon for Institutions Mintz
Jul
6
2020
 SEC Staff Reverses Position on State Control Share Statutes for Closed-End Funds Vedder Price
Dec
3
2011
 Using the Internet to Your Company's Advantage in Defending Against A Whistleblower Action Sheppard, Mullin, Richter & Hampton LLP
Dec
13
2017
 Department of Labor Extends Transition Period for Prohibited Transaction Exemptions Related to Its ERISA Fiduciary Rule von Briesen & Roper, s.c.
Feb
4
2020
 Using Nonqualified Plans to Reduce 401(k)/403(b) Costs Carlton Fields
Feb
18
2015
 TD Ameritrade Holding Corp., et al. v. Trading Technologies Int’l, Inc: Order Regarding Translator Declarations Faegre Drinker
Aug
12
2021
 Collateral Damage: SEC Sanctions “Varsity Blues” Parent Norris McLaughlin P.A.
Sep
3
2024
 Weekly IRS Roundup August 19 – August 23, 2024 McDermott Will & Schulte LLP
Jun
5
2025
 What Founders Should Know About Credit Union Investments Varnum LLP
Apr
16
2023
 Supreme Court Holds that Constitutional Challenges to Administrative Agencies’ Structure Can Be Brought in District Court Proskauer Rose LLP
Jan
11
2024
 “Export Controls Are the New Sanctions” and Other Enforcement Trends for 2024 Bracewell LLP
Feb
26
2025
 Exploring DORA: Potential Implications for EU and UK Businesses Greenberg Traurig, LLP
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