| Nov 11 2020 |
Crowdfunding Expanded; SEC Announces Increase in Amounts Permitted To Be Raised by Crowdfunding |
Mintz |
| Nov 11 2020 |
India: Exchange of Shares as Stock-In-Trade in an Amalgamation to Be Taxable |
Nishith Desai Associates |
| Nov 11 2020 |
SEC Amends Rules to Facilitate Capital Raising in Private Offerings |
Proskauer Rose LLP |
| Nov 11 2020 |
SEC Settles Enforcement Proceeding Without Imposing a Penalty Against Adviser That Self-Reported Alleged Expense Waiver Misrepresentations |
Vedder Price |
| Nov 10 2020 |
SEC Proposes Conditional Exemption for Finders Engaging in Limited Capital Raising Activities |
Vedder Price |
| Nov 10 2020 |
SEC Staff Issues FAQs on Form CRS Disciplinary History Information Accompanied by a Joint Statement from Chairman Clayton and Division Directors |
Vedder Price |
| Nov 10 2020 |
SEC Adopts New Framework for Fund of Funds Arrangements |
Vedder Price |
| Nov 10 2020 |
Disclosure Standards for Alternative Investment Funds (AIF) – Recent Updates |
Nishith Desai Associates |
| Nov 10 2020 |
SEC Adopts Amendments to Shareholder Proposal Rule |
Vedder Price |
| Nov 10 2020 |
Small to Mid-Size Businesses: New SEC Changes Simplify and Increase Access to Capital and Investment |
ArentFox Schiff LLP |
| Nov 9 2020 |
SEC Roundtable on Reg BI and Form CRS |
Faegre Drinker |
| Nov 6 2020 |
SEC Disclosure Requirement Amendments to Regulation S-K: Description of Business, Legal Proceedings, and Risk Factors |
Dinsmore & Shohl LLP |
| Nov 6 2020 |
SEC Approves Amendments to Harmonize and Simplify Offering Exemptions |
Katten |
| Nov 6 2020 |
India-focused Investment Funds: March, 2020 Onward |
Nishith Desai Associates |
| Nov 6 2020 |
Dodd-Frank SEC Whistleblower Protection Post-Digital Realty |
Zuckerman Law |
| Nov 5 2020 |
The European Stock Markets: Still at Sixes and Sevens |
Norris McLaughlin P.A. |
| Nov 5 2020 |
Revenge of the Rat Pack; SEC Proposes Finders Exemption |
Polsinelli PC |
| Nov 5 2020 |
Alternative Investment Funds (AIF) And Arbitrability Of AIF Disputes |
Nishith Desai Associates |
| Nov 5 2020 |
John McAfee Meet Agent Smith |
Polsinelli PC |
| Nov 5 2020 |
SEC Announces Two Whistleblower Awards of $3.6 Million and $750,000 |
Kohn, Kohn & Colapinto |
| Nov 5 2020 |
SEBI’s Informal Guidance: Interpretation of Angel Fund Regulations |
Nishith Desai Associates |
| Nov 5 2020 |
SEC Publishes New Whistleblower Rules; Deadlines Impact Thousands of Cases |
Kohn, Kohn & Colapinto |
| Nov 4 2020 |
SEC Adopts Final Derivatives Rule and Related Amendments |
Faegre Drinker |
| Nov 4 2020 |
Currency Exchange Risks and AIFS: A Primer |
Nishith Desai Associates |
| Nov 4 2020 |
Approved Claims Rates in Securities Class Actions: Evidence from 2015–2018 Rule 10b-5 Settlements |
Cornerstone Research |
| Nov 4 2020 |
SEC Enforcement’s 2020 Annual Report Reflects Shifting Priorities for Fund Managers: Four Key Takeaways |
Proskauer Rose LLP |
| Nov 3 2020 |
SEC: A “Record Year for Whistleblowers” |
Kohn, Kohn & Colapinto |
| Nov 3 2020 |
SEC Annual Report Highlighted by Record Year for SEC Whistleblower Awards |
Kohn, Kohn & Colapinto |
| Nov 3 2020 |
Natural Disasters are Getting Worse: Protecting Yourself from Investment and Donation Scams Seeking to Exploit Natural Disaster Relief |
Greenberg Traurig, LLP |
| Nov 3 2020 |
Two Recent SEC Cases Involving Cryptocurrency Offerings |
Faegre Drinker |
| Nov 3 2020 |
SEC Enforcement Report Underscores the Role of Whistleblowers in Detecting Wrongdoing and Protecting Investors |
Zuckerman Law |
| Nov 2 2020 |
SEC Whistleblower Receives $10 Million Award for Assisting in Investigation |
Kohn, Kohn & Colapinto |
| Nov 2 2020 |
The New Fund of Funds Rule And ETFS—(Missed) Opportunties |
K&L Gates LLP |
| Nov 2 2020 |
SEC Announces Record-Breaking $114 Million Award to Whistleblower |
Proskauer Rose LLP |
| Oct 30 2020 |
SEC and CFTC Chairman Issue Joint Letter Regarding CFTC Orders Implicating Regulations A and D |
Katten |
