Securities SEC

Published between:
Published Title Organization
May
21
2020
 Report Cryptocurrency Fraud and Earn a Whistleblower Award Zuckerman Law
May
21
2020
 Misuse of Private Fund Assets Leads to SEC Enforcement and Industry Bar for Fund Manager Proskauer Rose LLP
May
21
2020
 Can This Bylaw Provision Eliminate Shareholder Proposals? Allen Matkins Leck Gamble Mallory & Natsis LLP
May
20
2020
 COVID-19: NYSE and Nasdaq Relax Listing Requirements in Response to Volatile COVID-19 Economy K&L Gates LLP
May
20
2020
 Delaware Supreme Court Upholds Validity of Exclusive Federal Forum Provisions Faegre Drinker
May
20
2020
 Co-Director of the SEC’s Division of Enforcement Delivers Remarks on COVID-19-Related Securities Fraud Kohn, Kohn & Colapinto
May
20
2020
 What Happens When A Corporation Cannot Afford To Pay Dissenting Shares? Allen Matkins Leck Gamble Mallory & Natsis LLP
May
20
2020
 NYSE Temporarily Eases Certain Shareholder Approval Requirements as a Result of Coronavirus (COVID-19) Mintz
May
20
2020
 SEC is Sued to Stop Collection of Personal Data of Retail Investors Mintz
May
19
2020
 Federal Reserve Announces New Details for Term Asset-Backed Securities Loan Facility (TALF) Polsinelli PC
May
19
2020
 Business Unusual For Financial Services Firms – Returning to New Variations of "the Workplace" Katten
May
19
2020
 U.S. Securities And Exchange Commission Launches Investigations Into PPP Loans Barnes & Thornburg LLP
May
18
2020
 SEC Enforcement Expanding Efforts Regarding Coronavirus Impacts Faegre Drinker
May
15
2020
 CFTC Staff Issues Advisory Addressing Current Market Conditions Katten
May
15
2020
 FINRA Proposes Rule Change to Temporarily Amend Certain Timing, Method of Service and Other Procedural Requirements in FINRA Rules Katten
May
15
2020
 SEC Enforcement Actions Against Fund Advisers Continues Katten
May
15
2020
 SEC Offers Limited Rule Relief to Spur Small Business Crowdfunding During Pandemic Sheppard, Mullin, Richter & Hampton LLP
May
14
2020
 Priorities of the SEC Division of Enforcement’s Coronavirus Steering Committee Vedder Price
May
14
2020
 SEC Co-Director of Enforcement Outlines Division’s Response to COVID-19 Sheppard, Mullin, Richter & Hampton LLP
May
14
2020
 Don’t Cry (or Lie) Over Skim Milk: SEC Charges Ron Swanson with Securities Fraud Winstead
May
14
2020
 COVID-19: Revenue Procedure 2020-19 K&L Gates LLP
May
14
2020
 CFTC Announces Final Guidance on “Actual Delivery” for Digital Assets Hunton Andrews Kurth
May
14
2020
 Report Financial Statement Fraud and Earn an SEC Whistleblower Award Zuckerman Law
May
14
2020
 Where Do Scriptophilists Obtain Certificates? Allen Matkins Leck Gamble Mallory & Natsis LLP
May
14
2020
 Impact of COVID-19 Shut Downs on Conflict Minerals Reporting Squire Patton Boggs (US) LLP
May
14
2020
 COVID-19 Update: Federal Reserve Provides Additional Guidance on Inclusion of CLOs in New TALF Term Sheet and Responses to Frequently Asked Questions Cadwalader, Wickersham & Taft LLP
May
13
2020
 Fund Valuations – A New Way to Keep Score Robinson & Cole LLP
May
13
2020
 New Guidance Allows Publicly-Offered REITs and RICs to Issue up to 90% of Qualifying Dividends in the REIT or RIC’s Own Stock Through the End of the Year Proskauer Rose LLP
May
13
2020
 Bill Proposes Bizarre Article Attestation Requirement Allen Matkins Leck Gamble Mallory & Natsis LLP
May
13
2020
 Fifth Circuit Holds that Law Firm Cannot Claim Privilege Over Client Identity in IRS Probe Sheppard, Mullin, Richter & Hampton LLP
May
12
2020
 Legislator Proposes Securities Law Exception For Digital Assets Allen Matkins Leck Gamble Mallory & Natsis LLP
May
11
2020
 Just a Drop in the Bucket: SEC Charges Dropil with Defrauding Investors in Unregistered ICO Polsinelli PC
May
11
2020
 Welcome to Fight Club - New Securities Exchange Approved by SEC Polsinelli PC
May
11
2020
 A Security By Any Other Name Would Smell As Sweet Polsinelli PC
May
11
2020
 Don’t Judge a Tradebook by Its Cover Polsinelli PC
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