Securities SEC

Published between:
Published Title Organization
Dec
4
2020
CFTC Staff Extends Existing Brexit-Related Relief to Provide Market Certainty & Temporary Relief to DTCC Data Repository LLC and Related Entities from Reporting Requirements Katten
Dec
4
2020
SEC Staff Issues Statement Regarding Signature Requirements Katten
Dec
4
2020
Nasdaq Seeks SEC Approval of Board Diversity Rule Katten
Dec
4
2020
CFTC Adopts New Rules on Position Limits; SEC and CFTC Harmonize Minimum Margin Levels for Securities Futures Vedder Price
Dec
4
2020
OCIE Shares Observations from Adviser Examinations under its Multi-Branch Initiative Vedder Price
Dec
4
2020
SEC Eases Auditor Independence Rules Vedder Price
Dec
3
2020
SEC Proposes Welcomed Amendments To Rule 701 and Form S-8 Bracewell LLP
Dec
3
2020
CFTC’s Enforcement Division Announces Record-Breaking 2020 and Outlines Priorities for 2021 Sheppard, Mullin, Richter & Hampton LLP
Dec
3
2020
SEC Again Highlights Risks of Investing in Chinese Securities Barnes & Thornburg LLP
Dec
3
2020
OCIE Issues Risk Alert on Common Deficiencies Observed in Adviser Compliance Programs Proskauer Rose LLP
Dec
3
2020
Are Diversity Riders Legal? Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
2
2020
NASDAQ Proposes Board Diversity Requirements Bracewell LLP
Dec
2
2020
SEC Amends MD&A Disclosure Rules and Trims Financial Disclosure Requirements Proskauer Rose LLP
Dec
2
2020
DC Council Enacts Tax Fraud Whistleblower Qui Tam Law Zuckerman Law
Dec
2
2020
Nasdaq Proposes New Listing Rules for Board Diversity Mintz
Dec
1
2020
SEC Issues Joint Whistleblower Award of $6 Million to Individuals Key in Assisting Successful Enforcement Action Kohn, Kohn & Colapinto
Dec
1
2020
The SEC’s CCO Guidance Month Faegre Drinker
Dec
1
2020
SEC Modernizes Public Company MD&A and Other Financial Disclosure Requirements Godfrey & Kahn S.C.
Dec
1
2020
SEC Harmonizes and Improves Exempt Offering Framework Godfrey & Kahn S.C.
Dec
1
2020
Treasury Transparency: Enhanced Regulations for Trading in Government Securities Norris McLaughlin P.A.
Dec
1
2020
I’m Your Huckleberry - SEC Staff Statement on WY Division of Banking’s Letter on Custody of Digital Assets Polsinelli PC
Nov
29
2020
Key Trends: SEC Enforcement Activity: Public Companies and Subsidiaries—Fiscal Year 2020 Update Cornerstone Research
Nov
26
2020
Much Ado About Vesting: Federal Court Clarifies Vesting Rule for Security Interests Granted by Companies That Have Successfully Restructured K&L Gates LLP
Nov
26
2020
SEC Responds to Wyoming’s Opinion on Custody of Digital Assets and Qualified Custodian Status Proskauer Rose LLP
Nov
26
2020
Further Suspension of UK Wrongful Trading Laws Introduced Squire Patton Boggs (US) LLP
Nov
25
2020
Channeling Claims: the Importance of Considering (and Updating) Exclusive Forum Provisions Now K&L Gates LLP
Nov
25
2020
OCIE Issues Risk Alert Regarding Advisers Act Compliance Rule Greenberg Traurig, LLP
Nov
24
2020
SEC Adopts Final Rules to Modernize Financial Disclosure Requirements Womble Bond Dickinson (US) LLP
Nov
24
2020
SEC Proposal to Exempt Finders from Registration Generates Split Reaction Sheppard, Mullin, Richter & Hampton LLP
Nov
24
2020
The Pandemic Has Caused the Number of SEC Enforcement Actions to Decline Sharply in FY 2020 Faegre Drinker
Nov
23
2020
SEC Adopts Rules to Facilitate Electronic Signatures on Edgar Filings K&L Gates LLP
Nov
23
2020
Good News for Fintechs: Taiwan Announces Plans to Streamline Payments Regulations K&L Gates LLP
Nov
23
2020
SEC Determines Digital Asset, VCOIN, Not a Security Hunton Andrews Kurth
Nov
21
2020
Executive Summary: SEC Enforcement Activity: Public Companies and Subsidiaries Cornerstone Research
Nov
21
2020
CFTC Extends Relief for SEFs From Certain Block Trade Requirements Katten
 
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