| Jan 17 2020 |
Amendments to FINRA New Issue Rules 5130 and 5131 Effective January 1, 2020 |
Katten |
| Jan 17 2020 |
SEC Announces Proposed Amendments to Modernize Auditor Independence Rules |
Katten |
| Jan 17 2020 |
FINRA Requests Comments on Rule 4530 Reporting Requirements |
Katten |
| Jan 17 2020 |
CFTC Codifies Registration and Reporting Relief for Commodity Pool Operators and Commodity Trading Advisors |
Cadwalader, Wickersham & Taft LLP |
| Jan 17 2020 |
SEC Approves Amended Rule Change to FINRA Rule 5110 |
Katten |
| Jan 17 2020 |
FINRA’s 2020 Risk Monitoring and Examination Priorities Letter |
Greenberg Traurig, LLP |
| Jan 17 2020 |
Looking For The "Full Text" Of The Dodd-Frank Act? You Won't Find It Here |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jan 16 2020 |
Guidance Recap for the Upcoming Annual Report and Proxy Season |
Bracewell LLP |
| Jan 16 2020 |
Best Interest Standard of Care for Advisors #22 |
Faegre Drinker |
| Jan 16 2020 |
Is California Threatening Director Independence? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jan 15 2020 |
SDNY: Directors Not Liable For Whistleblower Claims Under SOX |
Proskauer Rose LLP |
| Jan 15 2020 |
In Outlining Its 2020 Examination Priorities, SEC Expresses Interest in Alternative Data and Cybersecurity Risks |
Proskauer Rose LLP |
| Jan 15 2020 |
Are Culpable Whistleblowers Eligible to Receive SEC Whistleblower Awards? |
Zuckerman Law |
| Jan 15 2020 |
In This Case, The Contract Had No Beginning |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jan 10 2020 |
Should the SEC Limit the Size of Whistleblower Rewards? |
Kohn, Kohn & Colapinto |
| Jan 10 2020 |
SEC Proposes Changes to Market Data Plans |
Katten |
| Jan 9 2020 |
SEC Publishes OCIE 2020 Examination Priorities |
Greenberg Traurig, LLP |
| Jan 9 2020 |
New Jersey Department of Revenue and Enterprise Services Announces Streamlined Business Reinstatement and Dissolution Program |
Giordano, Halleran & Ciesla, P.C. |
| Jan 9 2020 |
Teva Pharmaceuticals Settles to Pay Over $519 Million in Penalties for Violations of the Foreign Corrupt Practices Act |
Kohn, Kohn & Colapinto |
| Jan 9 2020 |
Prosecutors Not Required to Prove Tipper Received “Personal Benefit” to be Convicted Under Criminal Insider Trading Statute |
Polsinelli PC |
| Jan 9 2020 |
Survival of the Smartest: Funding Sources for Biotech and Life Sciences Companies |
Jones Walker LLP |
| Jan 9 2020 |
SEC Proposes Changes To Accredited Investor Standard And Assesses Its Impact On The Marketplace |
Horwood Marcus & Berk Chartered |
| Jan 9 2020 |
Opt-Out Rate in Securities Class Action Settlements More Than Doubles in Most Recent Four-Year Period |
Cornerstone Research |
| Jan 8 2020 |
Number of New SEC Enforcement Actions against Public Companies Rose 30% in FY 2019 |
Cornerstone Research |
| Jan 8 2020 |
More Accredited Investors? SEC Contemplates Expanding the Pool of Individuals That May Invest In Private Placements — Deadline For Comment Is Near |
Davis|Kuelthau, s.c. |
| Jan 8 2020 |
Amending the Definition of "Accredited Investor" |
Mitchell Silberberg & Knupp LLP |
| Jan 7 2020 |
A Proxy Season Guide to 2020 |
Dinsmore & Shohl LLP |
| Jan 7 2020 |
The SEC Insists On "Terminological Inexactitude" For Resource Extraction Issuer Rule |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jan 6 2020 |
Department Issues "Opinion" That Deferred Payment Product Meets Definitions Of "Loans" |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jan 2 2020 |
SDNY Rejects Director Liability for Sarbanes-Oxley Whistleblower Claims, Creating a Split Among Federal District Courts |
Polsinelli PC |
| Jan 2 2020 |
Second Circuit Holds that a “Personal Benefit” Is Not Required for Insider Trading Under Criminal Securities Statute |
Proskauer Rose LLP |
| Jan 2 2020 |
Federal Class Action Securities Fraud Filings Continue at Near-Record Pace |
Cornerstone Research |
| Jan 2 2020 |
SEC Proposes Update to Accredited Investor Definition that Would Make Private Markets Available to More Investors |
Faegre Drinker |
| Dec 31 2019 |
The SEC's Extraction Distraction |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Dec 30 2019 |
CFTC Whistleblower Reward Program Essential to Enforcement of Commodities Laws |
Kohn, Kohn & Colapinto |
