| Sep 27 2024 |
SEC Sanctions Investment Advisor $500,000 for Impeding Whistleblowing through NDAs |
Kohn, Kohn & Colapinto |
| Sep 27 2024 |
Minnesota Federal Court Says Greenwashing Claims Concerning Consumer Products Can Proceed |
Mintz |
| Sep 27 2024 |
Blockchain+ Bi-Weekly; Highlights of the Last Two Weeks in Web3 Law: September 27, 2024 |
Polsinelli PC |
| Sep 26 2024 |
SEC Continues Enforcement Program Targeting Late Beneficial Ownership Reports |
Proskauer Rose LLP |
| Sep 26 2024 |
OpenSeason: The SEC’s Enforcement Activity Threatens OpenSea and NFTs |
Nelson Mullins |
| Sep 26 2024 |
For U.S. Manufacturers and Other Exporters, Recent Federal Strike Force Prosecutions Highlight Need To Evaluate Compliance Program Sufficiency |
Robinson & Cole LLP |
| Sep 26 2024 |
The Outlook for M&A Activity in Q4 2024 |
Foley & Lardner LLP |
| Sep 26 2024 |
Firms Fail to File 13Fs, Fines Follow |
K&L Gates LLP |
| Sep 26 2024 |
D, F, G, 3, 4, 5: Firms Charged for Failing to Make Section 13 and 16 Filings |
K&L Gates LLP |
| Sep 24 2024 |
SEC Sanctions Investment Managers for Failure to Report on Forms 13F and 13H |
Barnes & Thornburg LLP |
| Sep 23 2024 |
SEC Revises Tick Size, Access Fees and Round-Lot Definition and Takes Steps to Disseminate Odd-Lot and Other Better Priced Orders |
Katten |
| Sep 20 2024 |
Following Jarkesy , FERC Signals Sea Change in Enforcement |
Van Ness Feldman LLP |
| Sep 20 2024 |
Whistleblower Update: SEC, DOJ Still Focusing on Employment Agreements and Written Policies, Off-Channel Communications |
Ogletree, Deakins, Nash, Smoak & Stewart, P.C. |
| Sep 19 2024 |
SEC’s Focus on Whistleblower Protection Practices Continues |
Foley & Lardner LLP |
| Sep 19 2024 |
Failure to Safeguard, Two Cyber Intrusions, and an $850,000 SEC Settlement |
Jackson Lewis P.C. |
| Sep 19 2024 |
FINRA In-House Disciplinary Proceedings Survive Post-Jarkesy Challenge … For Now |
Foley & Lardner LLP |
| Sep 19 2024 |
Watch Now: Fireside Chat With SEC Commissioner Mark Uyeda [Video] |
Barnes & Thornburg LLP |
| Sep 18 2024 |
Firms Fails to File 13Fs, Fines Follow |
K&L Gates LLP |
| Sep 17 2024 |
End of Summer Pool Party: CFTC Approves Final Rule Amending 4.7 Regulatory Relief for CPOs and CTAs |
K&L Gates LLP |
| Sep 17 2024 |
SEC “Greenwashing” Enforcement Case Against Public Company |
Proskauer Rose LLP |
| Sep 14 2024 |
“Fat Finger” Fraud: SEC and DOJ Sue Bank Executive for Concealed Commissions |
Norris McLaughlin P.A. |
| Sep 13 2024 |
SEC Strengthens Regulation 13D-G Rules for Beneficial Ownership Reporting |
Proskauer Rose LLP |
| Sep 13 2024 |
New Filing Deadlines for Schedule 13G Effective September 30 |
Proskauer Rose LLP |
| Sep 13 2024 |
Medical Device Manufacturer THD Pays $700,000 to Resolve FCA Allegations |
ArentFox Schiff LLP |
| Sep 13 2024 |
SEC Disbands ESG Task Force |
Mintz |
| Sep 13 2024 |
Blockchain+ Bi-Weekly; Highlights of the Last Two Weeks in Web3 Law: September 12, 2024 |
Polsinelli PC |
| Sep 12 2024 |
FCA Marks Principal Firms’ Homework on Apointed Representatives – Must Try Harder |
Squire Patton Boggs (US) LLP |
| Sep 12 2024 |
Millions of Reasons to be a Whistleblower Means Increased Need for Internal Reporting Incentives |
Squire Patton Boggs (US) LLP |
| Sep 12 2024 |
Exploring AI Risks Reported in SEC Filings Can Be Helpful For Many Organizations, Including SMBs |
Jackson Lewis P.C. |
| Sep 12 2024 |
Still More on Whether the SEC Exceeded Its Authority in Adopting Rule 21F-17 |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Sep 12 2024 |
August 2024 ESG Policy Update – Australia |
K&L Gates LLP |
| Sep 12 2024 |
ASIC Releases Some Additional Guidance on Greenwashing |
K&L Gates LLP |
| Sep 11 2024 |
SEC Announces Slew of Enforcement Actions Regarding Whistleblower Protection Rule |
Proskauer Rose LLP |
| Sep 11 2024 |
Checked Swing—SEC Does Not Adopt "Swing Pricing" or a "Hard Close" for Now, but Only Provides Liquidity Guidance and Amendments to Forms N-Port and N-Cen |
K&L Gates LLP |
| Sep 11 2024 |
VC Funds Warehousing Investments: Traps for the Unwary |
Mintz |
