| Nov 27 2024 |
October 2024 ESG Policy Update – Australia |
K&L Gates LLP |
| Nov 26 2024 |
Tenth Circuit Court of Appeals Affirms Dismissal of Putative Securities Class Action Brought by Short Seller |
Katten |
| Nov 26 2024 |
The SEC Adopts Rules Amending the Covered Clearing Agency Standards |
Katten |
| Nov 26 2024 |
Alpine v. FINRA Big News |
Katten |
| Nov 26 2024 |
US Federal Court Vacates SEC’s Dealer Rule |
Katten |
| Nov 26 2024 |
SEC Waives TCR Filing Requirement in Awarding $2 Million to Whistleblower |
Kohn, Kohn & Colapinto |
| Nov 26 2024 |
SEC Issues Risk Alert About Greenwashing and ESG Disclosures |
Mintz |
| Nov 25 2024 |
SEC Imposes $17.5 Million Fine Against Investment Adviser for Greenwashing |
Mintz |
| Nov 25 2024 |
California Climate Disclosure Rules Survive Significant Early Challenge |
Mintz |
| Nov 22 2024 |
Post-Election Shift: Securities Industry Anticipates Business-Friendly SEC Under Trump Administration |
Katten |
| Nov 22 2024 |
SEC Whistleblower 2024 Report Details Continued Success of Program |
Kohn, Kohn & Colapinto |
| Nov 22 2024 |
AI and Your Obligations as Licensee |
K&L Gates LLP |
| Nov 21 2024 |
Federal Court Vacates SEC’s Expanded Dealer Definition |
K&L Gates LLP |
| Nov 20 2024 |
NASAA Electronic Filing Depository Platform Migration: Changes and Deadlines Effective January 2025 |
Greenberg Traurig, LLP |
| Nov 19 2024 |
New Outbound Investment Rules Restrict US Investment in China |
Hunton Andrews Kurth |
| Nov 19 2024 |
AI Transcripts and Investment Advisers: Embracing Technology While Meeting SEC Requirements |
Stark & Stark |
| Nov 18 2024 |
The Fate of the New U.S. Climate Change Rules Under the New Republican Administration; Certain States are Expected to Ramp Up Their Climate Change Efforts |
Proskauer Rose LLP |
| Nov 14 2024 |
SEC Enforcement Director Highlights Increased Penalties for Violations of Whistleblower Rule |
Kohn, Kohn & Colapinto |
| Nov 14 2024 |
The Corporate Transparency Act: What You Need to Know Ahead of the January 1, 2025 Deadline |
Sheppard, Mullin, Richter & Hampton LLP |
| Nov 14 2024 |
Blockchain+ Bi-Weekly; Highlights of the Last Two Weeks in Web3 Law: November 14, 2024 |
Polsinelli PC |
| Nov 13 2024 |
First JPEX Judgement by a Hong Kong Court in Favor of Customers |
K&L Gates LLP |
| Nov 13 2024 |
ESMA Guidelines on Fund Names |
Proskauer Rose LLP |
| Nov 12 2024 |
Funds in Focus: Top SEC Exam and Enforcement Trends |
Proskauer Rose LLP |
| Nov 12 2024 |
SEC Division of Examinations Highlights Common Deficiencies in Registered Investment Company Core Examination Areas |
Katten |
| Nov 12 2024 |
Why Was 25% Chosen As California's Jurisdictional Threshold For Recapitalization Transactions? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Nov 8 2024 |
Foreign Listed Stock Index Futures and Options Approvals November 2024 |
Katten |
| Nov 8 2024 |
Pulse Check: Digital Assets [Video] |
Bracewell LLP |
| Nov 7 2024 |
Compliance Outreach Program: Private Funds Panel |
K&L Gates LLP |
| Nov 7 2024 |
Supreme Court Hears Argument On Whether "What's Past Is Prologue" |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Nov 6 2024 |
Guidelines on Funds’ Names Using ESG or Sustainability-Related Terms |
Squire Patton Boggs (US) LLP |
| Nov 5 2024 |
Watch Now: Looking Ahead to 2025: SEC Regulations, Enforcement and More [Video] |
Barnes & Thornburg LLP |
| Nov 5 2024 |
SEC Penalties Relating to Cybersecurity Disclosures |
Polsinelli PC |
| Nov 5 2024 |
SEC’s 2025 Exam Priorities: What Investment Advisers Need to Know |
Polsinelli PC |
| Nov 5 2024 |
Florida Amends Securities and Investor Protection Act: Key Changes to Private Placement, Institutional Investor Exemptions |
Greenberg Traurig, LLP |
| Nov 5 2024 |
ISS Issues October 2024 Update to its Executive Compensation Policies FAQs |
Proskauer Rose LLP |
