| Aug 13 2020 |
Private Equity Adviser Settles with SEC for Misallocation of Internal Expenses Relating to “Third-Party Tasks” |
Proskauer Rose LLP |
| Aug 12 2020 |
SEC Proposes to Transform and Modernize Mutual Fund and ETF Disclosure Framework |
Faegre Drinker |
| Aug 11 2020 |
SEC Cracks Down on Pension Fund Advisers’ Undisclosed Compensation and Conflicts |
Proskauer Rose LLP |
| Aug 11 2020 |
SEC Warns Industry: Remain Vigilant of Cyberattacks |
Faegre Drinker |
| Aug 10 2020 |
Comparing the Standard of Conduct: Broker-Dealers vs. Investment Advisers |
Faegre Drinker |
| Aug 10 2020 |
A Liu Look at Disgorgement: Ninth Circuit Vacates SEC Disgorgement Award |
Cadwalader, Wickersham & Taft LLP |
| Aug 7 2020 |
SEC Publishes Semi-Annual Regulatory Agenda for Spring 2020 |
Vedder Price |
| Aug 7 2020 |
Agencies Adopt Volcker Rule Amendments Relating to Covered Funds |
Vedder Price |
| Aug 7 2020 |
SEC Adopts Expedited Review Process for Exemptive Applications Under the Investment Company Act |
Vedder Price |
| Aug 7 2020 |
Diversity & Inclusion in Investment Management: SEC Explores Creating a More Inclusive Capital Formation Ecosystem |
Faegre Drinker |
| Aug 6 2020 |
An Inside (Trading) Job: Criminal Forfeiture Order Cancels out SEC Disgorgement in Insider Trading Case |
Polsinelli PC |
| Aug 6 2020 |
Strange Bedfellows – How a Recent Security Fraud Opinion May Impact Consumer Fraud Class Actions |
Faegre Drinker |
| Aug 5 2020 |
Supreme Court Holds Interference Must Be Wrongful |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Aug 3 2020 |
The SEC’s 2020 Amendments to Proxy Rules and Supplemental Guidance to Investment Advisers on Proxy Voting Responsibilities |
Greenberg Traurig, LLP |
| Jul 31 2020 |
Securities and Exchange Commission (SEC) This Week |
Katten |
| Jul 31 2020 |
European Securities and Markets Authority ESMA Update |
Katten |
| Jul 30 2020 |
SEC Adopts Final Rules for Proxy Advisors |
Womble Bond Dickinson (US) LLP |
| Jul 29 2020 |
Second Quarter Reporting — Recent SEC Guidance on COVID-19-Related Disclosure |
Katten |
| Jul 29 2020 |
SEC Proposes Amendments to Form 13 F, Proposes Increasing 13 F Reporting Threshold |
K&L Gates LLP |
| Jul 29 2020 |
Number of Securities Class Action Filings Falls to Lowest Level Since 2016 |
Cornerstone Research |
| Jul 29 2020 |
SEC Adopts Rule Amendments Regarding Proxy Voting Advice |
Barnes & Thornburg LLP |
| Jul 27 2020 |
SEC Adopts Final Rules on Proxy Voting Advice |
K&L Gates LLP |
| Jul 25 2020 |
Mega Filings: An Excerpt |
Cornerstone Research |
| Jul 24 2020 |
SEC Adopts Amendments and Issues Guidance Related to Proxy Voting Advice |
Katten |
| Jul 24 2020 |
Commodity Futures Trading DIgest July 2020 |
Katten |
| Jul 24 2020 |
CFTC Swap Transactions Update July 2020 |
Katten |
| Jul 22 2020 |
Investment Management Legal and Regulatory Update - July 2020 |
Godfrey & Kahn S.C. |
| Jul 21 2020 |
SEC and DOJ Adopt Memorandum of Understanding to Formalize Interagency Cooperation in the Securities Industry |
Sheppard, Mullin, Richter & Hampton LLP |
| Jul 21 2020 |
Disclosure Considerations Regarding Operations, Liquidity, and Capital Resources |
Mintz |
| Jul 20 2020 |
4th Circuit: SEC Disgorgement Fine Does Not Trigger Double Jeopardy Protection |
Polsinelli PC |
| Jul 20 2020 |
New SEC Variable Contract Summary Prospectus Rules: An Implementation Project Plan |
Vedder Price |
| Jul 20 2020 |
Top 6 Reasons Why the SEC Whistleblower Program Is Successful |
Zuckerman Law |
| Jul 20 2020 |
Strategies for Adjusting Executive Performance Goals in the Covid-19 Era |
Mintz |
| Jul 17 2020 |
CFTC Welcomes Standardized Approaches to Assessing Cybersecurity Preparedness |
Katten |
| Jul 17 2020 |
SEC Approves Extension of Temporary NYSE Waiver of Stockholder Approval Rules |
Katten |
