| Feb 22 2021 |
Three Critical Questions That Will (Hopefully) be Answered by the SEC’s Lawsuit against Ripple |
Proskauer Rose LLP |
| Feb 19 2021 |
New Fees for Rate Paid Under Section 31 of the Exchange Act |
Katten |
| Feb 19 2021 |
SEC Issues Two Whistleblower Awards Totaling $3 Million, Claimants Faced “Personal Risk” |
Kohn, Kohn & Colapinto |
| Feb 18 2021 |
Whistleblower Attorney Challenges SEC Final Rule Changing Its Whistleblower Program |
Proskauer Rose LLP |
| Feb 17 2021 |
SEC Staff Issues No-Action Relief for Custody of Certain Loan Interests Under the Investment Company Act |
Greenberg Traurig, LLP |
| Feb 17 2021 |
Evaluating Foreign Investment in RCEP Member States From a Dispute Resolution Perspective |
K&L Gates LLP |
| Feb 17 2021 |
Stumbling Through Securities Law Challenges for COVID-19 Vaccine Developers |
Proskauer Rose LLP |
| Feb 17 2021 |
How Should These Form 10-K Items Be Captioned? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Feb 16 2021 |
Shareholders Cannot Sue Corporate Officers for Forward-Looking Projections that Don’t Pan Out, Ninth Circuit Affirms |
Proskauer Rose LLP |
| Feb 16 2021 |
Mainstream Acceptance of Cryptocurrency Magnifies Legal Risk Under Securities Laws |
Binder & Schwartz |
| Feb 16 2021 |
Human Capital Disclosures May Waken Plaintiffs |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Feb 15 2021 |
SEC Enforcement Restores Subpoena Power |
Faegre Drinker |
| Feb 12 2021 |
SEC Staff Releases Sample Comment Letter on Securities Offerings During Periods of Market and Price Volatility |
Katten |
| Feb 12 2021 |
FINRA Releases Regulatory Notice on Policies and Procedures Relating to Fraud Involving Low-Priced Securities |
Katten |
| Feb 12 2021 |
COVID, Climate Change and ESG – The Future of Disclosures, SEC Enforcement, and Securities Litigation |
Bracewell LLP |
| Feb 11 2021 |
President Biden’s Nominee for SEC Chairman: What Does It Mean for Crypto? |
Hunton Andrews Kurth |
| Feb 10 2021 |
SPACs Explained, in Five Minutes or Less |
Proskauer Rose LLP |
| Feb 10 2021 |
Is A Fair Statement Anything More Than Accurate? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Feb 9 2021 |
It's Official! SEC Agrees "Shall" Is Ambiguous |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Feb 8 2021 |
Securities Class Action Filing Activity Falls in 2020 Amid Global Pandemic Decline in Section 11 & M&A cases leads to overall reduction in filing activity, but dollars at risk in litigation remains stable. |
Cornerstone Research |
| Feb 8 2021 |
SEC Brings Charges against Individuals Behind Allegedly Fraudulent Unregistered Digital Asset Securities Offering |
Proskauer Rose LLP |
| Feb 8 2021 |
What to Expect from the SEC Under the Biden Administration |
Winstead |
| Feb 8 2021 |
The “ABC’s” of ESG |
Proskauer Rose LLP |
| Feb 5 2021 |
Congress Amends Exchange Act Of 1934 To Address Disgorgement Penalties In Defense Spending Bill |
Polsinelli PC |
| Feb 5 2021 |
SEC Amends MD&A and Other Financial Disclosure Rules |
Mintz |
| Feb 5 2021 |
SEC Requests Comment on Potential Money Market Fund Reform Options Highlighted in President’s Working Group Report |
Katten |
| Feb 4 2021 |
U.S. District Judge Rejects Argument that Sale of “Stand-In” Tokens Was Not a Sale of Unregistered Securities |
Faegre Drinker |
| Feb 3 2021 |
Satyam Khanna Named SEC’s First Senior Policy Advisor for Climate and ESG |
Mintz |
| Feb 2 2021 |
10 Steps for Responding to an SEC Subpoena: What Do You Need to Know? |
Oberheiden P.C. |
| Feb 2 2021 |
Recent SEC Leadership and Organizational Changes |
Vedder Price |
| Feb 2 2021 |
Rupture Rapture: Should the GameStop? |
Norris McLaughlin P.A. |
| Feb 2 2021 |
OCIE Risk Alert Highlights Compliance Rule Deficiencies Observed During Recent Adviser Exams |
Vedder Price |
| Feb 2 2021 |
SEC Articulates Standards for Relief Under Section 26(c) for Variable Insurance Product Substitution Orders |
Vedder Price |
| Feb 2 2021 |
SEC Staff Issues ADI Regarding Risk Disclosures for Registered Funds Investing in Emerging Markets |
Vedder Price |
| Feb 2 2021 |
When PPP met OBA – An Investigation was Born |
Winstead |
