Securities SEC

Published between:
Published Title Organization
Dec
22
2020
Nasdaq Board Diversity Proposal Highlights Importance of ESG Issues, Increased D&O Risks Hunton Andrews Kurth
Dec
18
2020
SEC Amends Regulation S-T to Permit Electronic Signatures Foley & Lardner LLP
Dec
18
2020
SEC Adopts Final Resource Extraction Disclosure Rules; Duplicative Regulation Clearing Agency Rule Katten
Dec
17
2020
SEC Adopts Final Fund of Funds Rule Faegre Drinker
Dec
17
2020
Cyberattack on SolarWinds Product Victimizes Public and Private Sector Targets Faegre Drinker
Dec
17
2020
Guidance on the New York Regulations and Mandatory Filings with Electronic Filing Depository Greenberg Traurig, LLP
Dec
17
2020
Does The SEC Grant Only Industry Requests? Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
15
2020
“Gig” Workers May Become Eligible to Receive Equity Compensation Mintz
Dec
15
2020
SEC Passes New Rule 2a-5 Regarding Fair Valuation Greenberg Traurig, LLP
Dec
15
2020
5 Takeaways Regarding OCIE’s Focus on RIAs’ Handling of “Alt Data” Foley & Lardner LLP
Dec
15
2020
When the CCO Is Not Compliant: Failure To Have Independent Testing of Broker/Dealer AML Compliance Norris McLaughlin P.A.
Dec
15
2020
Supreme Court to Consider Securities Class Action Issue Proskauer Rose LLP
Dec
14
2020
Auditor Receives SEC Whistleblower Award of More Than $300,000 Kohn, Kohn & Colapinto
Dec
14
2020
Nasdaq Board Diversity Proposal Jones Walker LLP
Dec
12
2020
SEC Announces Stand-Alone Office Focused on Innovation and Financial Technology & Rules to Modernize Infrastructure for NMS Market Data Katten
Dec
11
2020
CFTC Final Rules Related to Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants & Related to SEFs and Withdraws Comprehensive Proposals Katten
Dec
11
2020
CFTC Interprets and Issues No-action Relief from Certain Clearing and Trade Execution Requirements & Provides Further Brexit-Related Relief to Provide Market Certainty Katten
Dec
11
2020
CFTC Approves Final Rules Regarding Electronic Trading Risk Principles and Bankruptcy Regulations & Organizational Changes Katten
Dec
10
2020
Nasdaq Proposal to Adopt Listing Rules Related to Board Diversity Winstead
Dec
9
2020
CFTC Enforcement Division Reports Most Active Year to Date Faegre Drinker
Dec
9
2020
Nasdaq Proposed Rule Would Require Board Diversity and Transparency Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
Dec
9
2020
SEC Sends Warning Shot on COVID-Impact Disclosures Bracewell LLP
Dec
8
2020
SEC Adopts Amendments to Management’s Discussion and Analysis and Other Financial Disclosures Cadwalader, Wickersham & Taft LLP
Dec
8
2020
Meeting Specified Standards: the SEC’s OCIE Assesses Compliance Norris McLaughlin P.A.
Dec
8
2020
Keeping Up With the Times: SEC Proposes to Modernize Ability of Companies to Grant Equity Compensation K&L Gates LLP
Dec
8
2020
The Cheesecake Factory has settled charges with the SEC for Misleading COVID-19 Disclosures Polsinelli PC
Dec
8
2020
An Early Holiday for Gig Workers: SEC Proposes to Expand Ability of Companies to Grant Equity Compensation to Gig Economy K&L Gates LLP
Dec
7
2020
New York Guidance on Mandatory Filing of Form D Mintz
Dec
7
2020
SEC Adopts Amendments to MD&A and Other Financial Disclosures Katten
Dec
7
2020
Cheesecake Factory’s SEC Fines Are Latest D&O Liability to Stem from COVID-19 Pandemic Hunton Andrews Kurth
Dec
5
2020
Number of Filings and Public Company and Subsidiary SEC Actions: An Excerpt from SEC Enforcement Activity: Public Companies and Subsidiaries—Fiscal Year 2020 Update Cornerstone Research
Dec
5
2020
Division of Corporation Finance Issues Disclosure Consideration for China-Based Issuers Katten
Dec
4
2020
SEC Announces Proposed Amendments to Rule 701 and Form S-8 Katten
Dec
4
2020
CFTC MOU for Supervision of Cross-Border Firms & Timing Requirements for Certain SEF Reports Katten
Dec
4
2020
SEC Proposes to Ease Restrictions on Compensatory Offerings to Employees, “Platform Workers” and Other Service Providers Womble Bond Dickinson (US) LLP
 
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