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 |