| Aug 31 2020 |
SEC Amends Regulation S-K Disclosure Requirements Impacting Public Companies, Private Investors |
ArentFox Schiff LLP |
| Aug 31 2020 |
OCIE to Private Fund Advisers: How Many Times Do I Have to Tell You? |
Vedder Price |
| Aug 31 2020 |
SEC Expands “Accredited Investor” and “Qualified Institutional Buyer” Definitions |
Mintz |
| Aug 31 2020 |
SEC Highlights COVID-Related Risks Facing Broker-Dealers and Investment Advisers |
Barnes & Thornburg LLP |
| Aug 28 2020 |
SEC Adopts Amendments to Regulation S-K Requirements |
Cadwalader, Wickersham & Taft LLP |
| Aug 28 2020 |
SEC Adopts Amendments to Modernize Risk Factor Disclosure Requirements |
Cadwalader, Wickersham & Taft LLP |
| Aug 28 2020 |
SEC Expands Definitions of Accredited Investor and Qualified Institutional Buyer |
ArentFox Schiff LLP |
| Aug 28 2020 |
SEC Takes Note Of CLA Letter |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Aug 28 2020 |
SEC Modernizes “Accredited Investor” Definition |
McDermott Will & Schulte LLP |
| Aug 27 2020 |
SEC Adopts Rule Amendments Designed to Expand Access to Private Investment Opportunities |
Cadwalader, Wickersham & Taft LLP |
| Aug 27 2020 |
What’s at Stake With the New SEC Whistleblower Rules? |
Kohn, Kohn & Colapinto |
| Aug 27 2020 |
SEC Proposes Rule Changes to Mutual Fund and Exchange Traded Fund Disclosures |
Greenberg Traurig, LLP |
| Aug 26 2020 |
California's Racial/Ethnic Board Quota Bill Amended To Include Sexual Orientation |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Aug 25 2020 |
The SEC’s Efforts Against Public Companies and Corporate Officers Continue |
Faegre Drinker |
| Aug 25 2020 |
What’s New, and Comings & Goings at the SEC |
Faegre Drinker |
| Aug 25 2020 |
Liu v. SEC Decision Leaves Ambiguity on Disgorgement Limitations – How to Measure “Business Expenses” Deductible from “Illegal Profits” |
Faegre Drinker |
| Aug 25 2020 |
Two Stones, One Bird: SEC’s Double Whammy against Advisory Firm |
Faegre Drinker |
| Aug 25 2020 |
Six Feet Away – SEC OCIE Announces Risk Considerations Pertaining to COVID-19 |
Polsinelli PC |
| Aug 25 2020 |
Fifth Circuit Affirms Dismissal Section 14(a) Complaint For Failure to Plead Facts Demonstrating Alleged Omissions from Proxy Statement Were Misleading |
Sheppard, Mullin, Richter & Hampton LLP |
| Aug 25 2020 |
ESG-Focused Fund Strategies Face SEC Scrutiny on Disclosures and Internal Procedures |
Proskauer Rose LLP |
| Aug 25 2020 |
Ninth Circuit to Determine Whether Direct Listing Purchasers Have Standing Under Sections 11 and 12 of 1933 Act |
Mintz |
| Aug 21 2020 |
2019 Accounting and Auditing Enforcement Activity [PODCAST] |
Cornerstone Research |
| Aug 21 2020 |
ESMA Publishes Letter to the European Commission on the AIFMD Review |
Katten |
| Aug 21 2020 |
Amendments to Risk Disclosure Statements for Security Futures Contracts Become Effective |
Katten |
| Aug 21 2020 |
FINRA: Corporate Bond Pennying & Security Futures Risk |
Katten |
| Aug 20 2020 |
Ninth Circuit Reverses SEC Disgorgement Award and Remands in First Decision Post-Liu |
Sheppard, Mullin, Richter & Hampton LLP |
| Aug 19 2020 |
Interactive Brokers LLC Submits to SEC, FINRA, and CFTC Penalties Totalling $38 Over Widespread AML Failures |
Mintz |
| Aug 19 2020 |
SEC Proposes Major Changes to Prospectus and Shareholder Report Disclosure Scheme |
K&L Gates LLP |
| Aug 19 2020 |
Will the SEC’s Proposed Whistleblower Rules Undermine the Deterrent Effect of the Dodd-Frank Act? |
Kohn, Kohn & Colapinto |
| Aug 19 2020 |
In This Case, "Termination" Means "I Won't Be Back" |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Aug 18 2020 |
A Promise Made, a Promise Kept: CFTC Adopts Final Cross-Border Swaps Rules Largely as Proposed |
Katten |
| Aug 18 2020 |
Does This Ruling By V.C. Laster Decide The Constitutionality Of California's Female Board Quota Legislation? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Aug 17 2020 |
The SEC Cannot Abandon Its Rules Protecting Internal Whistleblowers |
Kohn, Kohn & Colapinto |
| Aug 17 2020 |
Have No Fear, Reg BI Is Finally Here |
Faegre Drinker |
| Aug 14 2020 |
SEC Proposes New Modernization Fund Disclosure Regime |
Vedder Price |
