| Jul 7 2020 |
NYSE Extends Waiver of Certain Shareholder Approval Requirements as a Result of Coronavirus (COVID-19) |
Mintz |
| Jul 7 2020 |
SEC Amends Financial Reporting Rules for Investment Company Business Combination Transactions |
Vedder Price |
| Jul 6 2020 |
SEC Extends Relief from 1940 Act In-Person Voting Requirements |
Vedder Price |
| Jul 6 2020 |
SEC Staff Issues No-Action Letter Regarding Fund Participation in the Federal Reserve Board’s 2020 Term Asset-Backed Loan Facility |
Vedder Price |
| Jul 6 2020 |
Pandemic for Profit? – SEC Enforcement Patrols Press Releases |
Proskauer Rose LLP |
| Jul 6 2020 |
SEC Chairman Confirms June 30 Compliance Date for Regulation Best Interest and Form CRS |
Vedder Price |
| Jul 6 2020 |
DOJ/SEC Release New Edition of FCPA Resource Guide |
Foley & Lardner LLP |
| Jul 6 2020 |
SEC Staff Reverses Position on State Control Share Statutes for Closed-End Funds |
Vedder Price |
| Jul 6 2020 |
LIBOR Preparedness Exams Are Coming – Is Your Firm Ready? |
Katten |
| Jul 6 2020 |
Supreme Court Upholds SEC Penalty, but Tasks Ninth Circuit with Defining Wrongful “Profits” |
Kohn, Kohn & Colapinto |
| Jul 3 2020 |
Second Circuit Upholds Regulation BI |
Bracewell LLP |
| Jul 2 2020 |
SEC Issues Additional Disclosure Guidance in Response to COVID-19 |
Polsinelli PC |
| Jul 2 2020 |
Liu v. SEC —SCOTUS Weighs In, But Disgorgement Questions Remain |
Mintz |
| Jul 2 2020 |
Volcker Rule Amended to Permit Venture Fund, Credit Fund and Other New Investments |
Polsinelli PC |
| Jul 1 2020 |
SEC Provides Further Guidance On COVID-19 Disclosure |
McDermott Will & Schulte LLP |
| Jul 1 2020 |
Department of Labor Proposal Would Curtail ESG Investing |
Proskauer Rose LLP |
| Jul 1 2020 |
Ring of Fire - SEC Hangs Up on Telegram |
Polsinelli PC |
| Jul 1 2020 |
Supreme Court Update: Liu v. Securities & Exchange Commission (No. 18-1501), Department of Homeland Security v. Thuraissigiam (No. 19-161) |
Wiggin and Dana LLP |
| Jul 1 2020 |
The Second Circuit Upholds Reg BI |
Faegre Drinker |
| Jul 1 2020 |
Are Shares Of A Corporation Owned By A Subsidiary Entitled To Vote? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jun 30 2020 |
IMS Insights Episode 17: Dr. Charles Cowan on COVID-19 Impacts to the CMBS Market [PODCAST] |
IMS Legal Strategies |
| Jun 30 2020 |
SEC Staff Provides Additional Disclosure Guidance Relating to the COVID-19 Pandemic |
Foley & Lardner LLP |
| Jun 30 2020 |
D.C. Circuit Rejects SEC’s Program Testing Exchange Fees and Rebates |
Sheppard, Mullin, Richter & Hampton LLP |
| Jun 30 2020 |
SEC Releases Risk Alert Identifying Common Private Equity and Hedge Fund Compliance Deficiencies |
Proskauer Rose LLP |
| Jun 30 2020 |
SEC Disgorgement Lives to See Another Day After Supreme Court's Liu v. SEC Ruling |
Greenberg Traurig, LLP |
| Jun 30 2020 |
SEC Extends Guidance for Email Paper Documents & Manual Signatures Required |
Mintz |
| Jun 30 2020 |
Must The Board Approve All Corporate Giving? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jun 29 2020 |
Fifth Circuit Upholds Dismissal of Diversification and Prudence Claims Targeting A Single Stock Fund in a 401(k) Plan |
Proskauer Rose LLP |
| Jun 29 2020 |
Supreme Court Preserves But Limits SEC Disgorgement Power |
Sheppard, Mullin, Richter & Hampton LLP |
| Jun 29 2020 |
This Blue Sky Law May Cast A Shadow On Promissory Note Amendments |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jun 29 2020 |
DC Circuit Repudiates SEC Program for Testing Exchange Fee Structures |
Sheppard, Mullin, Richter & Hampton LLP |
| Jun 26 2020 |
Volcker 3.0: The Agencies Relax the Volcker Rule Requirements for Securitizations and Foreign Funds and Grant New Exemptions from the Covered Fund Restrictions |
Cadwalader, Wickersham & Taft LLP |
| Jun 26 2020 |
NFA Sets Effective Date for Rule Amendments Related to NFA’s Penalties and Disciplinary Procedures |
Katten |
| Jun 26 2020 |
CFTC Approves Two Final Rules and Two Proposed Rules at June 25 Open Meeting |
Katten |
| Jun 26 2020 |
Prudential Regulators Revise Initial Margin Rules for Uncleared Swaps |
Katten |
