| Oct 5 2020 |
Comparing the DOL Proposal to the Broker-Dealer and RIA Standards of Conduct |
Faegre Drinker |
| Oct 5 2020 |
SEC Amends Shareholder Proposal Eligibility Rules |
Mintz |
| Oct 2 2020 |
SEC Staff to Host Roundtable on Regulation Best Interest and Form CRS on October 26 |
Katten |
| Oct 2 2020 |
CFTC Extends No-Action Relief for Certain Reporting Obligations under the OCR Final Rule & Holding Open Commission Meeting on October 6 |
Katten |
| Oct 2 2020 |
MiFID II: FCA Publishes Regulatory Forbearance on the 10 Percent Depreciation Rule & ESMA Publishes Final Report on Third-Country Firm Regime |
Katten |
| Oct 2 2020 |
SEC Enforcement’s First Public Company Cases Resulting from its EPS Initiative |
Faegre Drinker |
| Oct 2 2020 |
NYSE Further Extends Waiver of Certain Shareholder Approval Requirements as a Result of Coronavirus (COVID-19) |
Mintz |
| Oct 2 2020 |
The OCC and SEC’s FinHub Issue Guidance on Fiat-Backed Stablecoin Reserves |
Greenberg Traurig, LLP |
| Oct 2 2020 |
Third Circuit Deals Blow to FTC Disgorgement Authority |
Hinch Newman LLP |
| Oct 2 2020 |
ESMA Publishes Final Report on Technical Standards for the Provision of Investment Services by Non-EU Firms |
Cadwalader, Wickersham & Taft LLP |
| Oct 1 2020 |
SEC Mike Drop on Rapper and Film Producer Charged With Illegal ICOs |
Polsinelli PC |
| Oct 1 2020 |
California Enacts “Mini-CFPB” Law, Significantly Altering Financial Services Regulation in The State |
K&L Gates LLP |
| Oct 1 2020 |
Taxing Disclosures: Municipal Securities Issuers and COVID-19 |
Norris McLaughlin P.A. |
| Sep 30 2020 |
Time to Do the Foxtrot (Three Step) SEC Establishes Improved Process for Settlement of Digital Asset Securities |
Polsinelli PC |
| Sep 30 2020 |
CCO Barred for Altering Reports to Mislead SEC Staff |
Faegre Drinker |
| Sep 30 2020 |
CFTC Whistleblower Receives $250,000 Award |
Kohn, Kohn & Colapinto |
| Sep 30 2020 |
Does California's New Consumer Financial Protection Law Apply To SEC Registered Investment Advisers? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Sep 30 2020 |
Stewardship Code 2020: Early Reporting |
Squire Patton Boggs (US) LLP |
| Sep 30 2020 |
Second Bite of the Cherry: Returning to the UK's Temporary Permissions Regime |
K&L Gates LLP |
| Sep 29 2020 |
Despite Challenges, It’s Full Steam Ahead For SEC’s Enforcement Division |
Sheppard, Mullin, Richter & Hampton LLP |
| Sep 29 2020 |
SEC Modernizes and Codifies Disclosure Requirements for Banking Registrants |
Bracewell LLP |
| Sep 29 2020 |
Best Interest Standard of Care for Advisors #33 |
Faegre Drinker |
| Sep 29 2020 |
What if the Advice Is Suspect? Municipal Securities Advisor Registration and Dereliction |
Norris McLaughlin P.A. |
| Sep 28 2020 |
The 100 Whistleblowers Who Changed Wall Street |
Kohn, Kohn & Colapinto |
| Sep 28 2020 |
SEC Adopts Amendments to Modernize Shareholder Proposal Rule |
Godfrey & Kahn S.C. |
| Sep 28 2020 |
SEC Staff Provides Guidance on Non-Custodial Digital Asset Settlement |
Hunton Andrews Kurth |
| Sep 25 2020 |
Two International Whistleblowers Issued Awards from SEC Totaling $2.5 Million |
Kohn, Kohn & Colapinto |
| Sep 25 2020 |
Achieving Diversity and Inclusion within the Securities and Financial Management Industry and its Legal Partners |
Winstead |
| Sep 25 2020 |
Update on the Assault Upon FTC Enforcement Authority: Monetary Disgorgement Challenges and Executive Direction to Reform Agency Operations |
Hinch Newman LLP |
| Sep 25 2020 |
SEC Adopts Shareholder Amendments & Issues C&DI |
Katten |
| Sep 25 2020 |
SEC Finalizes Changes to the Requirements for Submission of Shareholder Proposals: Prepare for 2022 Proxy Season |
Jones Walker LLP |
| Sep 25 2020 |
SEC Approves Changes to Its Whistleblower Program |
Squire Patton Boggs (US) LLP |
| Sep 25 2020 |
SEC Adopts Final Rules Amending Its Whistleblower Program |
Katz Banks Kumin LLP |
| Sep 24 2020 |
UK Chancellor announces Winter Economy Plan |
Proskauer Rose LLP |
| Sep 24 2020 |
SEC Adopts Amendments to Whistleblower Rules that Will Strengthen Some Aspects of the Program But Also Reduce Large Awards and Limit Protection Against Retaliation |
Zuckerman Law |
