| Sep 23 2020 |
OCC and SEC’s FinHub Issue Guidance on Stablecoins |
Hunton Andrews Kurth |
| Sep 22 2020 |
SEC Proposes Amendments to The Advertising Rules for Registered Funds, BDCs, and ETFs |
K&L Gates LLP |
| Sep 22 2020 |
SEC Focus on Municipal Securities: Disclosure and Enforcement – The Peculiar Structure of the Municipal Securities Disclosure Regime |
Norris McLaughlin P.A. |
| Sep 22 2020 |
SEC Expands Access to the Private Markets Through Expansion of Accredited Investor Definition in New Rule |
Wiggin and Dana LLP |
| Sep 21 2020 |
Anonymous SEC Whistleblower Earns $2.4 Million Award For Prompting Commission to Open Investigation |
Kohn, Kohn & Colapinto |
| Sep 21 2020 |
A Mix of Clarity and Confusion: Crypto Asset Law and Regulation in the UK |
Proskauer Rose LLP |
| Sep 18 2020 |
ESMA Renews 0.1 percent Reporting Requirement of Net Short Positions in EU Issuers |
Katten |
| Sep 18 2020 |
Securities and Exchange Commission (SEC) Updates, September 18, 2020 |
Katten |
| Sep 18 2020 |
SEC Amends Environmental Disclosure Requirements |
Hunton Andrews Kurth |
| Sep 18 2020 |
SEC Issues New Risk Alert on “Credential Stuffing” Attacks |
Faegre Drinker |
| Sep 18 2020 |
CFTC Continues Efforts to Increase Enforcement Transparency – Issues New Guidance on Evaluating Corporate Compliance Program |
Faegre Drinker |
| Sep 17 2020 |
SEC Awards Whistleblower More Than $10 Million |
Proskauer Rose LLP |
| Sep 17 2020 |
Supplemental Guidance Regarding the Proxy Voting Responsibilities of Investment Advisers |
Stark & Stark |
| Sep 16 2020 |
Best Interest Standard of Care for Advisors #31 |
Faegre Drinker |
| Sep 16 2020 |
Public Company Acquired Company Financial Statement Rules |
Katten |
| Sep 15 2020 |
SEC Updates Statistical Disclosure Requirements for Banking Registrants |
Bracewell LLP |
| Sep 15 2020 |
CFTC Throws its Hat into the Corporate Compliance Arena |
Sheppard, Mullin, Richter & Hampton LLP |
| Sep 15 2020 |
‘Accredited Investor’: Regulatory Design, the Revised Definition, and the Unfinished Result |
Norris McLaughlin P.A. |
| Sep 15 2020 |
Wolf in Sheep’s Clothing: Bitclub Network Promoter Admits to Securities Fraud and Tax Offenses |
Polsinelli PC |
| Sep 14 2020 |
COVID-19 Enforcement Trends: March - August 2020 |
Sheppard, Mullin, Richter & Hampton LLP |
| Sep 14 2020 |
SEC Adopts Rules To Regulate Proxy Advisory Firms |
Jones Walker LLP |
| Sep 14 2020 |
How to Report Unregistered Convertible Debt Lenders or Penny Stock Dealers and Earn an SEC Whistleblower Award |
Zuckerman Law |
| Sep 11 2020 |
SEC Division of Corporation Finance Issues Additional Guidance Related to Expiring Confidential Treatment Orders |
Katten |
| Sep 11 2020 |
SEC Adopts Amendments to Disclosures of Business Issues (Item 101), Legal Proceedings (Item 103), and Risk Factors (Item 105) Under Regulation S-K |
Mintz |
| Sep 11 2020 |
Everybody in the Pool! The SEC Expands the Definition of Accredited Investor |
Dinsmore & Shohl LLP |
| Sep 11 2020 |
SEC Adopts Amendments to Modernize Disclosures of Business, Legal Proceedings and Risk Factors under Regulation S-K |
K&L Gates LLP |
| Sep 11 2020 |
FINRA Files Proposed Rule Change to Delete the Order Audit Trail System (OATS) Rules |
Katten |
| Sep 10 2020 |
How a Prior DOJ Settlement Doomed a SEC Enforcement Action: A Volkswagen Case Study |
Mintz |
| Sep 10 2020 |
The SEC Updates Its Environmental Disclosure Requirements for the First Time in 30 Years |
Beveridge & Diamond PC |
| Sep 10 2020 |
When the Tank Is Empty: Auditing in the Time of COVID-19 |
Norris McLaughlin P.A. |
| Sep 9 2020 |
SEC Expands the “Accredited Investor” and “QIB” Definitions and the Permitted Scope of “Testing the Waters” |
Proskauer Rose LLP |
| Sep 9 2020 |
SEC Adopts Amendments to “Accredited Investor” Definition |
Robinson & Cole LLP |
| Sep 9 2020 |
Delaware Court of Chancery Clarifies that Management Cannot Unilaterally Curtail a Director’s Access to Corporation’s Privileged Information |
Sheppard, Mullin, Richter & Hampton LLP |
| Sep 9 2020 |
OCIE Issues Recommendations for Firms to Mitigate COVID-19-Related Compliance Risks |
Vedder Price |
| Sep 9 2020 |
Best Interest Standard of Care for Advisors #30 |
Faegre Drinker |
