| 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 |
| Feb 2 2021 |
ESG on the Books: NASDAQ Proposed Rules Require Board Diversity |
Proskauer Rose LLP |
| Feb 1 2021 |
OCIE Risk Alert Cautions Firms to Comply with Large Trader Obligations |
Vedder Price |
| Feb 1 2021 |
SEC Adopts Rule Amendments to Permit Electronic Signatures to Authenticate SEC Filings |
Vedder Price |
| Feb 1 2021 |
COVID-19 Misrepresentations: Blood Is Thicker Than Water |
Proskauer Rose LLP |
| Jan 29 2021 |
European Commission Adopts Equivalence Decision With Respect to SEC Regulatory Framework for Central Counterparties |
Katten |
| Jan 29 2021 |
ICO Confirms UK Firms May Rely on Public Interest Derogation for SEC Transfers |
Hunton Andrews Kurth |
| Jan 29 2021 |
FCA Publishes SEC MoU on Financial Services Supervision Post-Brexit |
Katten |
| Jan 29 2021 |
Trends in SEC Whistleblower Program |
Katz Banks Kumin LLP |
| Jan 28 2021 |
New York Adopts New Registration and Examination Requirements for Certain Investment Adviser Related Personnel and Solicitors |
Katten |
| Jan 28 2021 |
January 2021 Review of Recent Whistleblower Developments |
Foley & Lardner LLP |
| Jan 28 2021 |
Speaking with Divided Minds: The SEC “Modernizes” Investment Adviser Advertising |
Norris McLaughlin P.A. |
| Jan 27 2021 |
SEC Enforcement Victory in its Efforts to Police Cannabis Industry Investments |
Faegre Drinker |
| Jan 25 2021 |
SEC Adopts New Marketing Rule for Investment Advisers |
Faegre Drinker |
| Jan 22 2021 |
Investment Management Legal and Regulatory Update - January 2021 |
Godfrey & Kahn S.C. |
| Jan 21 2021 |
It's the Accredited Investors For Me |
Stubbs Alderton & Markiles, LLP |
| Jan 21 2021 |
The Second Phase of the SEC’s Reg BI Exams |
Faegre Drinker |
| Jan 20 2021 |
Wrap Fee Programs Under Continued Scrutiny and Use of Investment Advisory Product Committees |
Faegre Drinker |
| Jan 20 2021 |
The SEC's Modernized Marketing Rule for Investment Advisers |
K&L Gates LLP |
| Jan 20 2021 |
President Biden’s SEC Enforcement Program: What Should Private Fund Managers Expect? |
Proskauer Rose LLP |
| Jan 20 2021 |
SEC Staff Rationalizes Treatment of Institutional Family Offices under Regulation BI and Form CRS |
Vedder Price |
| Jan 20 2021 |
Shining a Spotlight on ESG Disclosures in the Biden Administration |
Proskauer Rose LLP |
| Jan 19 2021 |
$125 Million Deutsche Bank Settlement with SEC/DOJ Newest in Line of Several Costly Resolutions |
Faegre Drinker |
| Jan 19 2021 |
President Biden Announces Gary Gensler as SEC Chair Nominee |
Faegre Drinker |
| Jan 19 2021 |
What Type Of Crime Is Securities Fraud In California? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jan 18 2021 |
Pilgrim’s Pride Settles Poultry Price-Fixing Charges |
MoginRubin |
| Jan 15 2021 |
FINRA Postpones Implementation of Mandatory Margin for Covered Agency Transactions |
Katten |
| Jan 15 2021 |
SEC Issues No-Action Letter Regarding Institutional Family Offices |
Katten |
| Jan 15 2021 |
Cakes Gone Bad: The Cheesecake Factory Faces Securities Scrutiny |
Proskauer Rose LLP |
| Jan 14 2021 |
SEC Whistleblower Program Surpasses Record Amount of Awards Granted in a Fiscal Year |
Kohn, Kohn & Colapinto |
| Jan 14 2021 |
Taming the Elephants: SEC Jumbo Trader Risk Alert |
Norris McLaughlin P.A. |
| Jan 14 2021 |
Half a Loaf: Congress Extends the Statute of Limitations on Some SEC Remedies |
Barnes & Thornburg LLP |
| Jan 13 2021 |
Supreme Court Asks Second Circuit to Reconsider Ruling in Insider Trading Prosecution |
Polsinelli PC |
| Jan 13 2021 |
A Proxy Season and Annual Report Guide to 2021 |
Dinsmore & Shohl LLP |
