| May 11 2020 |
SEC Issues FAQs Regarding COVID-19 Order |
Jones Walker LLP |
| May 11 2020 |
“Contango With Me”: COVID-19 and the U.S. Crude Oil Market |
Cornerstone Research |
| May 11 2020 |
A Farraginous Stew Of Share Certificate Legend Requirements |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| May 8 2020 |
FINRA and NASAA Report Progress Towards May 24 Launch of Online Testing |
Katten |
| May 8 2020 |
SEC Leaders Ask Municipal Issuers for Voluntary COVID-19 Disclosure |
Bracewell LLP |
| May 8 2020 |
Update: NASDAQ Provides Temporary Relief from Certain Shareholder Approval Requirements During COVID-19 Pandemic |
Bracewell LLP |
| May 8 2020 |
Form CRS Update – OCIE Risk Alert on Initial Examinations |
Vedder Price |
| May 8 2020 |
Proposed Amendments to the Delaware General Corporation Law Concerning Virtual Shareholder Meetings During Emergency Conditions |
Katten |
| May 8 2020 |
New York Proposes New Rules to Modernize Securities Filings Affecting Private Funds and Significant Exam and Registration Requirements on "Finders" |
Katten |
| May 8 2020 |
Why Your Stock Certificate Is Not A Security |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| May 7 2020 |
A Program for Compliance with the Exchange Traded Fund Rule 6c-11 |
K&L Gates LLP |
| May 7 2020 |
GAO Priority Recommendations for EPA Include Assessing and Controlling Toxic Chemicals |
Bergeson & Campbell, P.C. |
| May 7 2020 |
Who Foots the Bill? SEC Cracks Down on Operating Partner Reimbursement Disclosures |
Proskauer Rose LLP |
| May 7 2020 |
The SEC’s Renewed Emphasis on Forward-Looking Information During the COVID-19 Pandemic |
Jones Walker LLP |
| May 7 2020 |
FINRA/SEC Will Not Slow Down for COVID-19 |
Wilson Elser Moskowitz Edelman & Dicker LLP |
| May 6 2020 |
Nasdaq Temporarily Eases Certain Shareholder Approval Requirements as a Result of Coronavirus (COVID-19) |
Mintz |
| May 6 2020 |
SEC Issues FAQs Providing Guidance on the Conditional Relief from Filing Deadlines as a Result of Coronavirus (COVID-19) |
Mintz |
| May 6 2020 |
“Where’s My Refund” – In Defense of Colleges and Universities Sued for the Return Fees and Tuition |
Polsinelli PC |
| May 6 2020 |
COVID-19: SEC Issues COVID-19 Order FAQs |
K&L Gates LLP |
| May 5 2020 |
Regulation Best Interest Update OCIE Risk Alert on Initial Examinations |
Vedder Price |
| May 5 2020 |
New Listing Rules Adopted for ETFs Relying on Rule 6c-11 – Exchanges’ ETF Listing Compliance Burdens Reduced |
K&L Gates LLP |
| May 5 2020 |
Federal Financial Institutions Examination Council Issues Revisions to BSA/AML Examination Manual |
Foley & Lardner LLP |
| May 5 2020 |
COVID-19: NASDAQ Proposal to Provide a Temporary Exception from Shareholder Approval Requirements |
ArentFox Schiff LLP |
| May 5 2020 |
Can a Breach of Fiduciary Duty Suit Be Brought Directly? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| May 4 2020 |
SEC and CFTC Announce Whistleblower Awards of $2 Million |
Kohn, Kohn & Colapinto |
| May 4 2020 |
SEC Announces Formation of Cross-Divisional COVID-19 Market Monitoring Group |
Katten |
| May 4 2020 |
Why Does DTC Need A Nominee? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| May 3 2020 |
Executive Summary Analysis of Updated Main Street Lending Program |
Vedder Price |
| May 3 2020 |
What to Do Now With Your CARES Act PPP Loan - Updated May 6, 2020 |
Greenberg Traurig, LLP |
| May 1 2020 |
CFTC Commissioner Brian D. Quintenz Announces End of His Term |
Katten |
| May 1 2020 |
SEC COVID-19: Broker-Dealer Financial Responsibility & Cross-Div. Market Monitoring |
Katten |
| May 1 2020 |
Blockvest Receives “Terminating Sanctions” For Misconduct In SEC Lawsuit Over Illegal ICO |
Polsinelli PC |
| Apr 30 2020 |
New SEC Guidance on PPP Loans, Form ADV Brochure Delivery and the Custody Rule |
Vedder Price |
| Apr 30 2020 |
Don’t Let Your Business Partner Use the COVID-19 Pandemic to Hide Misconduct |
Norris McLaughlin P.A. |
| Apr 30 2020 |
Treasury Department Issues Interim Rule Establishing Fees for Certain CFIUS Filings |
Greenberg Traurig, LLP |
