| Dec 30 2019 |
SEC Proposes to Amend “Accredited Investor” Definition, Expand Pool of Investors Eligible to Invest in Private Offerings Inbox |
Barnes & Thornburg LLP |
| Dec 30 2019 |
The SEC's Resource Extraction Rule - A Long Time Coming |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Dec 26 2019 |
SEC and PCAOB Enforcement Actions Involving Accountants Decline Steeply in 2018 |
Cornerstone Research |
| Dec 24 2019 |
Value of Accounting Securities Class Action Settlements in 2018 Reaches Second-Highest Level in 10 Years |
Cornerstone Research |
| Dec 23 2019 |
SEC Considers Broadening Access to Private Investment Opportunities Through Amendments to the “Accredited Investor” Definition |
Wiggin and Dana LLP |
| Dec 23 2019 |
Securities Class Action Settlement Amounts Increase Dramatically in 2018, Propelled by Mega Settlements |
Cornerstone Research |
| Dec 23 2019 |
SEC Proposes Expanding the Definitions of “Accredited Investor” and “Qualified Institutional Buyer” |
Polsinelli PC |
| Dec 22 2019 |
NFA Announces Effective Date for Amendments to CTA Performance Reporting and Disclosures Requirements |
Katten |
| Dec 21 2019 |
SEC Re-Proposes New Rule Governing Funds’ Use of Derivatives |
Vedder Price |
| Dec 21 2019 |
SEC Adopts Final SBS Cross-Border Rule Amendments and Sets Compliance Date for SBS Dealer Registration |
Katten |
| Dec 21 2019 |
FINRA’s Board of Governors Approves Two Rule Proposals |
Katten |
| Dec 20 2019 |
SEC Proposes New Rules to Implement Resource Extraction Disclosure Rules |
Katten |
| Dec 20 2019 |
SEC Announces Proposed Amendments to the Definitions of “Accredited Investor” and “Qualified Institutional Buyer” |
Katten |
| Dec 20 2019 |
CFTC Releases FY 2019 Annual Report |
Proskauer Rose LLP |
| Dec 19 2019 |
Court Rules Bankruptcy Code Does Not Preempt California Buy-Out Statute |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Dec 18 2019 |
Best Interest Standard of Care for Advisors #21 |
Faegre Drinker |
| Dec 18 2019 |
SEC Proposes Conditional Exemption for Certain Activities of Registered Municipal Advisors |
Greenberg Traurig, LLP |
| Dec 17 2019 |
Making a List and Checking it Twice: Preparing for the Most Wonderful Time of the Year – Annual Report and Proxy Season |
Faegre Drinker |
| Dec 17 2019 |
Remarks of Dalia Blass at the ALI CLE 2019 Conference on Life Insurance Company Products |
Vedder Price |
| Dec 17 2019 |
SEC Staff Issues Form CRS FAQs |
Vedder Price |
| Dec 17 2019 |
SEC Staff Updates Prior Accounting Guidance and Publishes Accounting Matters Bibliography |
Vedder Price |
| Dec 16 2019 |
The SEC Lays Down a Bet in a Nevada Court |
Faegre Drinker |
| Dec 16 2019 |
SEC Re-Proposes Rule on Funds’ Derivatives Use |
Faegre Drinker |
| Dec 16 2019 |
Four Decades After Being Abolished, Some California Corporations Continue To Refer To "Treasury Stock" |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Dec 16 2019 |
Securities Class Action Filings Remain Near Record High in 2018 |
Cornerstone Research |
| Dec 13 2019 |
SEC Issues Guidance on Substituted Compliance Applications by Non-US Security-Based Swap Dealers and Major Security-Based Swap Participants |
Katten |
| Dec 13 2019 |
Death Has No Sting For Securities Claims |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Dec 12 2019 |
US Consumer Financial Protection Bureau Seeking Comments on Proposed Remittance Rule Revisions |
K&L Gates LLP |
| Dec 12 2019 |
House Passes Proposed Legislation Defining Insider Trading |
Proskauer Rose LLP |
| Dec 11 2019 |
SEC Clamps Down on Custody Rule |
Proskauer Rose LLP |
| Dec 11 2019 |
Best Interest Standard of Care for Advisors #20 |
Faegre Drinker |
| Dec 11 2019 |
What impact does the General Election have on the proposed return of Crown preference? |
Squire Patton Boggs (US) LLP |
| Dec 11 2019 |
Is A Director An Employee? The SEC Has Some Contradictory Answers. |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Dec 5 2019 |
New SEC Proposed Amendments Respond to Tech Changes and Advancements |
ArentFox Schiff LLP |
| Dec 5 2019 |
Woodbridge Trustee Seeks Relief In California's Corporate Securities Law |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
