| Sep 11 2024 |
SEC Penalizes Seven Companies for Requiring Employees to Waive Rights to Whistleblower Awards |
Kohn, Kohn & Colapinto |
| Sep 11 2024 |
SEC Settles More Rule 21F-17(a) Cases, But Has It Exceeded Its Authority? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Sep 10 2024 |
Gee, Have You Thought About Your 13G? (New Reporting Compliance Deadlines Start at Month-End) |
K&L Gates LLP |
| Sep 10 2024 |
The Founder’s Dilemma: Stoking the Company’s Fire Without Forfeiting the Founder’s Interest in the Business |
Bradley Arant Boult Cummings LLP |
| Sep 10 2024 |
SEC Announces Settlement with Keurig for Statements Regarding the Recyclability of K-Cup Pods |
Bergeson & Campbell, P.C. |
| Sep 10 2024 |
Court Upholds SEC’s Victory in “Shadow Trading” Case |
Proskauer Rose LLP |
| Sep 10 2024 |
More Marketing Missteps |
K&L Gates LLP |
| Sep 9 2024 |
Does The SEC's Jurisdiction Really Extend To Any Person? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Sep 6 2024 |
SEC Enforcement Takes Broad View of Anti-Whistleblower Rule in Latest Action Targeting Investment Advisers and Broker-Dealer |
K&L Gates LLP |
| Sep 6 2024 |
SEC Enforcement Action Underscores Need for MNPI Policies in CLO Trading |
Proskauer Rose LLP |
| Sep 5 2024 |
CFTC’s Uniswap Settlement Sparks Debate on DeFi Regulation |
Katten |
| Sep 5 2024 |
FinCEN Adopts Final Rule: AML Programs for Investment Advisers |
Katten |
| Sep 5 2024 |
SEC Charges Broker-Dealer and Investment Advisers with Impeding Clients from Blowing the Whistle |
Kohn, Kohn & Colapinto |
| Sep 3 2024 |
Selection of Gov. Walz as VP Harris's Running Mate Triggers Federal Pay-to-Play Restrictions on Investment Advisers and Other Financial Industry Professionals |
Katten |
| Sep 3 2024 |
Legal Fee Allocation as a Boon to One Party: SEC Sanctions Investment Adviser’s Compounding Error |
Norris McLaughlin P.A. |
| Sep 3 2024 |
ASIC Seeks to Clarify the Scope of the “Authorised Representative” Exemption |
K&L Gates LLP |
| Sep 3 2024 |
Regulation Round Up August 2024 |
Proskauer Rose LLP |
| Aug 30 2024 |
Reminder for Schedule 13G Filers: Accelerated Reporting Deadlines Take Effect Sept. 30 |
Barnes & Thornburg LLP |
| Aug 29 2024 |
Blockchain+ Bi-Weekly: Week of August 29th |
Polsinelli PC |
| Aug 28 2024 |
SEC Continues its Cybersecurity Focus, Settles with Company over Lax Security Measures |
Sheppard, Mullin, Richter & Hampton LLP |
| Aug 28 2024 |
The MNPI Is Coming From Inside the House |
K&L Gates LLP |
| Aug 27 2024 |
The Effect of Supreme Court Decision in SEC v. Jarkesy on HHS-OIG Powers |
Barnes & Thornburg LLP |
| Aug 27 2024 |
Is A Change In Transfer Restrictions In A Shareholder Agreement Subject To Qualification? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Aug 27 2024 |
Latest Round of SEC “Off-Channel” Communications Settlements Highlights Risks for Investment Advisers and Benefits of Self-Reporting |
Sheppard, Mullin, Richter & Hampton LLP |
| Aug 26 2024 |
SEC Whistleblowers Awarded $24 Million |
Kohn, Kohn & Colapinto |
| Aug 26 2024 |
Dallas Continues to Make Strides as a Thriving Financial Hub as Texas Looks to Open New Business Courts |
Foley & Lardner LLP |
| Aug 26 2024 |
Profiting From Financings for Charter Schools: SEC Sues Unregistered, Fee-Splitting Municipal Advisor |
Norris McLaughlin P.A. |
| Aug 26 2024 |
SEC Scrutiny into Cash Sweep Programs: What Investment Advisers Need to Know |
Katten |
| Aug 26 2024 |
The Pitfalls of Hypothetical Performance Data |
The National Law Review's Guest Contributors - NLR |
| Aug 26 2024 |
Court Denies SEC’s Request for Disgorgement in Ripple Case |
Katten |
| Aug 26 2024 |
Artists Sue SEC, Challenging Agency’s Authority Over Digital Art and NFTs |
Katten |
| Aug 26 2024 |
No Need for Seeking Alpha to Seek Registration |
Greenberg Traurig, LLP |
| Aug 23 2024 |
SEC Awards Two Whistleblowers More Than $98 Million |
Proskauer Rose LLP |
| Aug 23 2024 |
SEC Awards $98 Million to Whistleblowers, Including Fourth Largest Individual Award in Program History |
Kohn, Kohn & Colapinto |
| Aug 23 2024 |
Another Delaware Corporation Announces Stockholder Approval Of Nevada Reincorporation |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
