| Jan 31 2020 |
SEC Division of Corporation Finance Issues C&DIs on Omission of Third Year From MD&A |
Katten |
| Jan 31 2020 |
1933 Filings in State Court: Excerpt from Securities Class Action Filings—2019 Year in Review |
Cornerstone Research |
| Jan 31 2020 |
SEC Proposes New Rule Governing Funds' Use of Derivatives |
Vedder Price |
| Jan 31 2020 |
SEC Investigating Cyberattacks Used to Find Secret Company Mergers |
Zuckerman Law |
| Jan 31 2020 |
The SEC’s 2020 Examination Priorities |
Sheppard, Mullin, Richter & Hampton LLP |
| Jan 30 2020 |
California Federal Court Holds that U.S. Securities Laws Apply to Unsponsored, Unlisted ADRs |
Proskauer Rose LLP |
| Jan 30 2020 |
Securities Class Action Filings Reach Record Levels in 2019 |
Cornerstone Research |
| Jan 30 2020 |
U.S. Whistleblower Law Can Help Hold Infosys Accountable Where Indian Law Cannot |
Kohn, Kohn & Colapinto |
| Jan 30 2020 |
2019 Year in Review: Securitization Litigation and Regulation |
Cadwalader, Wickersham & Taft LLP |
| Jan 30 2020 |
SEC Reminds Audit Committees of Their Oversight Role |
Mintz |
| Jan 29 2020 |
Investment Fraud Case: Sham Company Sells Millions of Dollars Worth of Stock To The Elderly |
Zuckerman Law |
| Jan 29 2020 |
Bharara Task Force Overlooks California Insider Trading Statute |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jan 29 2020 |
SEC Proposes Amendments to Auditor Independence Rules |
Vedder Price |
| Jan 29 2020 |
OCIE Releases Risk Alert Summarizing Observations from Fund Exams and Recent Initiatives |
Vedder Price |
| Jan 28 2020 |
Best Interest Standard of Care for Advisors #23: Regulation Best Interest: SEC 2020 Examination Priorities—Examinations for Compliance With Reg BI and the Investment Adviser Interpretation |
Faegre Drinker |
| Jan 27 2020 |
Client Advisory: Proposed Amendments to the Definition of Accredited Investor |
Hill Ward Henderson |
| Jan 27 2020 |
ETF Plaintiffs Find No Footing For Pursuit Of '33 Act Claims In California Court |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jan 24 2020 |
Court of Chancery Expands Stockholder Right to Corporate Books and Records |
McDermott Will & Schulte LLP |
| Jan 24 2020 |
EFSA Comments on MiFID II Recalibration |
Katten |
| Jan 24 2020 |
2020 Exam Priorities of Financial Services Industry |
Mintz |
| Jan 24 2020 |
CFTC to Hold an Open Commission Meeting on January 30 |
Katten |
| Jan 24 2020 |
CTFC Seeks Whistleblowers to Uncover Spoofing Schemes and Commodities Fraud |
Kohn, Kohn & Colapinto |
| Jan 24 2020 |
Availability and Benefits of Shelf Offerings for Public Issuers |
Ward and Smith, P.A. |
| Jan 23 2020 |
Preparation for 2019 Fiscal Year-End SEC Filings and 2020 Annual Shareholder Meetings |
Mintz |
| Jan 23 2020 |
Securities Fraud Whistleblowers Rewarded for Assisting SEC Investigations |
Kohn, Kohn & Colapinto |
| Jan 23 2020 |
OCIE's 2020 Exam Priorities — Key Takeaways for Private Fund Managers |
Proskauer Rose LLP |
| Jan 22 2020 |
Among an Array of 2020 Examination Priorities, SEC Signals Continued Interest in Cryptocurrency |
Proskauer Rose LLP |
| Jan 22 2020 |
SEC Proposes Rule Amendments Designed to Expand Access to Private Investment Opportunities |
Cadwalader, Wickersham & Taft LLP |
| Jan 22 2020 |
SEC Swings Into 2020, Warning Investors of Initial Exchange Offerings |
Proskauer Rose LLP |
| Jan 21 2020 |
2020 SEC Exam Priorities for Securities Industry Registrants |
Greenberg Traurig, LLP |
| Jan 21 2020 |
Let Slip the Dogs of War…the SEC vs. Telegram |
Polsinelli PC |
| Jan 21 2020 |
The Intersection between the Sarbanes-Oxley and Dodd-Frank Acts: Qui Tam Whistleblower Rewards under SOX |
Kohn, Kohn & Colapinto |
| Jan 21 2020 |
Business Judgement Rule Inapplicable if Director is Engaged in Self-Dealing, Unconscionable, or Fraudulent Activities/Decisions |
Stark & Stark |
| Jan 20 2020 |
It’s the Final Countdown: Being Prepared for Regulation Best Interest |
Winstead |
| Jan 17 2020 |
SEC Issues Guidance on Confidential Treatment Applications and Intellectual Property and Technology Risks |
Katten |
