Securities SEC

Published between:
Published Title Organization
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
 
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