| Mar 3 2020 |
CMBS Repurchase Remedy 2.0 |
Binder & Schwartz |
| Mar 3 2020 |
Buyers (And Sellers) Beware!: SEC Observations on Cybersecurity and Resiliency |
Sheppard, Mullin, Richter & Hampton LLP |
| Mar 2 2020 |
Bridging the Weeks by Gary DeWaal: February 17 to 28, and March 2, 2020 (Sanctioned Again; Spoofing; Denied Again; Bitcoin ETF) |
Katten |
| Mar 1 2020 |
OCIE Announces 2020 Examination Priorities |
Vedder Price |
| Feb 29 2020 |
SEC Issues Notice of Intention to Grant Exemption from Board’s In-Person Meeting Requirement to Approve Sub-Advisory Agreements |
Vedder Price |
| Feb 28 2020 |
Commissioner Peirce Dissents from SEC’s Rejection of Bitcoin-Based ETF |
Katten |
| Feb 28 2020 |
SEC Whistleblower Receives $7 Million Reward for Assisting in Investigation |
Kohn, Kohn & Colapinto |
| Feb 28 2020 |
Securities Class Action Settlement Median Value Remains Historically High in 2019 |
Cornerstone Research |
| Feb 28 2020 |
SEC and FINRA Signal Renewed Focus on Vendor Management in Two Key Areas: Cybersecurity and Market Access Rule Compliance |
Sheppard, Mullin, Richter & Hampton LLP |
| Feb 27 2020 |
Under Siege - Zen Master Steven Seagal Loses to the SEC |
Polsinelli PC |
| Feb 27 2020 |
Steven Seagal is not “Above the Law” in Crypto Scalping Case |
Winstead |
| Feb 27 2020 |
U.S. Supreme Court Denies Bid to Review Dismissal of Challenge to Pay-To-Play Rule |
Proskauer Rose LLP |
| Feb 27 2020 |
LLC Interests - Securities Or Not? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Feb 26 2020 |
SEC Guidance on Key Performance Indicators and Metrics in MD&A and Three New MD&A C&DIs |
Mintz |
| Feb 26 2020 |
Proposed SEC Amendments Expand Pool of Accredited Investors |
Varnum LLP |
| Feb 26 2020 |
Closing the 8-K Insider Trading Gap |
Mintz |
| Feb 25 2020 |
Best Interest Standard of Care for Advisors #26 |
Faegre Drinker |
| Feb 25 2020 |
Best Interest Standard of Care for Advisors #25 |
Faegre Drinker |
| Feb 25 2020 |
Could New Legislation on Insider Trading be on its Way? |
Faegre Drinker |
| Feb 24 2020 |
ESMA Has Its Say on Sustainable Finance |
Greenberg Traurig, LLP |
| Feb 24 2020 |
Upcoming/New CFIUS Filing: ZF Friedrichshafen AG and WABCO |
Squire Patton Boggs (US) LLP |
| Feb 21 2020 |
ESMA Consults on Third-Country Reporting Under MiFID II and MiFIR |
Katten |
| Feb 21 2020 |
Risky Business: How Departing Brokers Can Unintentionally Trip Reg. BI |
Winstead |
| Feb 21 2020 |
FINRA Requests Comment on Enhancements to the Continuing Education Program for Securities Industry Professionals |
Katten |
| Feb 21 2020 |
SEC Proposes to Modernize Infrastructure for NMS Securities Market Data |
Katten |
| Feb 18 2020 |
LIBOR Transition Newsletter – Issue 3 |
Greenberg Traurig, LLP |
| Feb 18 2020 |
SEC Indicates it Will Not Modify Climate Change Disclosure Criteria |
ArentFox Schiff LLP |
| Feb 17 2020 |
The Applicability of Anti-Fraud Rules to Certain Statements and Information made by Obligated Persons of Municipal Securities – A Legal Bulletin ‘Reminder’ from the Office of Municipal Securities |
Polsinelli PC |
| Feb 14 2020 |
Trump Budget Proposes Folding the PCAOB into the SEC by 2022 |
Faegre Drinker |
| Feb 14 2020 |
CFTC to Hold an Open Commission Meeting on February 20 |
Katten |
| Feb 14 2020 |
SEC Gives Management’s Discussion and Analysis (MD&A) a Makeover |
Faegre Drinker |
| Feb 14 2020 |
MD&A’s Makeover, Part II: Interpretive Guidance on the Use of KPIs and Metrics in MD&A |
Faegre Drinker |
| Feb 14 2020 |
MD&A’s Makeover, Part I: Proposed Amendments to Financial Disclosure Requirements in Regulation S-K |
Faegre Drinker |
| Feb 14 2020 |
BitBlog Bi-Weekly Update |
Polsinelli PC |
| Feb 11 2020 |
SEC Commissioner Hester Peirce’s Provocative Crypto Proposal |
Mitchell Silberberg & Knupp LLP |
