Jan 11 2021 |
Congress Passes NDAA Legislation Extending SEC’s Disgorgement Powers |
Foley & Lardner LLP |
Jan 11 2021 |
Congress Extending the SEC Statute of Limitations to 10 Years?!! |
Faegre Drinker |
Jan 8 2021 |
Division of Examinations Issues Risk Alert on Securities Investment that Finance Communist Chinese Military Companies |
Foley & Lardner LLP |
Jan 8 2021 |
SEC Digital Asset Securities, Internal Security-Based Swaps Joint Venture Statements |
Katten |
Jan 8 2021 |
SEC Again Approves NYSE’s Direct Listing Rules |
Katten |
Jan 8 2021 |
SEC Issues Five Whistleblower Awards Totaling Over $1.1 Million |
Kohn, Kohn & Colapinto |
Jan 8 2021 |
SEC Proposes Rule 144 Tacking Amendments |
Katten |
Jan 8 2021 |
CFTC Staff Provides Temporary Relief to Futures Commission Merchants Regarding Certain SOFR-Linked Investments |
Katten |
Jan 8 2021 |
CFTC Provides Relief to DCOs from New Daily Reporting Requirements |
Katten |
Jan 8 2021 |
Elad Roisman Named Acting Chairman of SEC |
Katten |
Jan 8 2021 |
Valuation of AIFS in India VS Funds in the US |
Nishith Desai Associates |
Jan 7 2021 |
"Gig" Workers May Become Eligible to Receive Equity Compensation |
Mintz |
Jan 7 2021 |
Tacking When Floating and Other Proposed Amendments to SEC Rule 144 |
Norris McLaughlin P.A. |
Jan 7 2021 |
SEC Proposes Changes to Modernize and Simplify Equity Compensation Rules and Registration Obligations |
Polsinelli PC |
Jan 6 2021 |
Four Things You Need to Know About the Extended Limitations Period for SEC Disgorgement |
Winstead |
Jan 6 2021 |
ESG Investing and Retirement Plans |
Bracewell LLP |
Jan 6 2021 |
SolarWinds Government Data Breach Leads to Securities Action |
Proskauer Rose LLP |
Jan 6 2021 |
If You Are Looking To Be Taken Seriously, Write To The SEC And Be Prepared For A Wait |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
Jan 5 2021 |
U.S. Set to Bar Investments in Communist Chinese Military Companies |
Stark & Stark |
Jan 5 2021 |
Felling Goliaths: ICE, Prudential, and the SEC Slingshot |
Norris McLaughlin P.A. |
Jan 5 2021 |
SEC Finalizes Updates to Advertising and Cash Solicitation Rules |
Vedder Price |
Jan 5 2021 |
UPDATED: The Reauthorization and Revival of the Paycheck Protection Program and Economic Injury Disaster Loan Program under the Economic Aid to Hard-Hit Small Businesses, Nonprofits, and Venues Act |
Sheppard, Mullin, Richter & Hampton LLP |
Jan 4 2021 |
A New Year’s Booster Shot: Congress Grants the SEC a Statutory Disgorgement Remedy and Extended Statute of Limitations |
Cadwalader, Wickersham & Taft LLP |
Jan 4 2021 |
U.S. Prohibits Trading in Securities of Communist Chinese Military Companies, but NYSE Reverses Plan to Delist |
Greenberg Traurig, LLP |
Jan 4 2021 |
SEC Adopts New Framework for Fund Valuation |
Vedder Price |
Dec 31 2020 |
Letting Qualified Experts Expand the Pink to Avoid the Grey: Proposed Conditional Waiver to SEC Rule 15c2-11 |
Norris McLaughlin P.A. |
Dec 31 2020 |
SEC Proposes Revisions to Rule 144 and Form 144 |
K&L Gates LLP |
Dec 29 2020 |
Direct Listing on the New York Stock Exchange: “Undertaking” the Underwriter REDUX |
Norris McLaughlin P.A. |
Dec 29 2020 |
During Biden Administration, SEC will require Climate Change Risk and ESG Disclosure |
Mintz |
Dec 29 2020 |
SPAC Disclosures – SEC Focuses in on Conflicts of Interests |
Proskauer Rose LLP |
Dec 23 2020 |
The View From Across the Pond — UK/EU Updates |
Katten |
Dec 23 2020 |
Securitization Disclosure and Document Updates for 2020 and 2021 |
Katten |
Dec 23 2020 |
The $180 Million Chinese Coffee Case for Attempting to Manage Earnings |
Faegre Drinker |
Dec 22 2020 |
SEC Adopts Modernized Marketing Rule for Investment Advisers |
Foley & Lardner LLP |
Dec 22 2020 |
SEC Whistleblower Who Risked Personal Safety Receives $1.6 Million Award |
Kohn, Kohn & Colapinto |