| Oct 15 2020 |
SEC Whistleblower Earns Award of Over $800,000 for Reporting Securities Fraud |
Kohn, Kohn & Colapinto |
| Oct 15 2020 |
Securities and Exchange Commission Adopts Final Fund of Funds Rule |
Faegre Drinker |
| Oct 15 2020 |
DOL Proposes New Rule on Proxy Voting Duties – Potential Implications for Investment Managers and Other ERISA Fiduciaries |
K&L Gates LLP |
| Oct 15 2020 |
SEC Passes New Rule 12d1-4 Regarding Fund of Funds |
Greenberg Traurig, LLP |
| Oct 15 2020 |
Will California's Board Quota Law Change Diversity Disclosures In Proxy Statements? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 14 2020 |
Time for a Change: The CFTC Adopts Extensive Amendments to Swap Reporting Regulations to Improve Data Quality |
Katten |
| Oct 14 2020 |
Securities and Exchange Commission Rescinds Guide 3 |
Dinsmore & Shohl LLP |
| Oct 14 2020 |
Finders Keepers? SEC Proposes Exemption From Broker-Dealer Registration for Finders in Private Placements, but Questions Remain |
K&L Gates LLP |
| Oct 13 2020 |
SEC Joint Statement on Form CRS and New FAQs & Upcoming Roundtable |
Faegre Drinker |
| Oct 13 2020 |
Update: Recent SEC Amendments to Disclosure Rules Regarding Business Description, Legal Proceedings, and Risk Factors Are Effective November 9, 2020 |
Bracewell LLP |
| Oct 13 2020 |
SEC Approves NYSE’s Plan for Primary Direct Listings, Then Stays Order to Consider the Changes |
Bracewell LLP |
| Oct 13 2020 |
SEC Proposes Relief from Broker-Dealer Registration for Certain Finders |
Mintz |
| Oct 13 2020 |
Remarks of Dalia Blass, Director of the SEC’s Division of Investment Management, at the SEC Regulation Think-In 2020 Conference |
Vedder Price |
| Oct 13 2020 |
SEC Issues Statement in Response to the Report of the President’s Working Group on Financial Markets |
Vedder Price |
| Oct 12 2020 |
SEC Adopts Expanded “Accredited Investor” Definition |
Vedder Price |
| Oct 12 2020 |
Highlights from SEC Speaks 2020 |
Vedder Price |
| Oct 12 2020 |
SEC Proposes Conditional Exemption for Tier I and Tier II Finders in Private Capital Raising |
Proskauer Rose LLP |
| Oct 12 2020 |
SEC Human Capital Reporting Rules Take Effect |
Hunton Andrews Kurth |
| Oct 9 2020 |
Securities and Exchange Commission Modernizes Disclosure Requirements For Financial Institutions |
Polsinelli PC |
| Oct 9 2020 |
SEC Proposes Allowing ‘Finders’ to Raise Capital Without Registering as Broker-Dealers |
Katten |
| Oct 9 2020 |
Scrolling to the End SoluTech Sanctioned After Conducting Illegal Sale of Securities |
Polsinelli PC |
| Oct 9 2020 |
Unpacking the DOJ and SEC FCPA Resource Guide |
Faegre Drinker |
| Oct 9 2020 |
SEC Proposes Exemption from Registration for Finders |
Greenberg Traurig, LLP |
| Oct 9 2020 |
SEC Awards Almost $30 Million to Two Insider Whistleblowers |
Proskauer Rose LLP |
| Oct 8 2020 |
SEC Amends Rule 15c2-11, Enhancing Retail Investor Protections and Modernizing the Standards Governing Quotations for OTC Securities |
Jones Walker LLP |
| Oct 8 2020 |
“We’re Not in Kansas Anymore:” SEC Enforcement Action Against a Trust Company With Trusts |
Norris McLaughlin P.A. |
| Oct 8 2020 |
SEC Settles Enforcement Action against Private Equity Firm for Beneficial Ownership Reporting Violations |
Faegre Drinker |
| Oct 8 2020 |
SEC Issues No-Action Letter Facilitating the Secondary Trading of Digital Assets |
Greenberg Traurig, LLP |
| Oct 8 2020 |
SEC's Proposed Exemptive Order For Finders Overlooks California Exemption |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 8 2020 |
SEC Amends Whistleblower Program Rules |
Proskauer Rose LLP |
| Oct 7 2020 |
SEC Continues to Prioritize COVID Fraud Cases |
Faegre Drinker |
| Oct 7 2020 |
Judge Rules Kik’s ICO Violated Federal Securities Laws |
Hunton Andrews Kurth |
| Oct 6 2020 |
SEC Adopts Amendments to Modernize Shareholder Proposal Rule |
Womble Bond Dickinson (US) LLP |
| Oct 6 2020 |
Best Interest Standard of Care for Advisors #34 |
Faegre Drinker |
| Oct 6 2020 |
The October 2, 2020 SBA Procedural Notice: Change of Ownership Transactions Involving PPP Borrowers |
Sheppard, Mullin, Richter & Hampton LLP |
