| Nov 13 2019 |
SEC Proposes Modernizing Shareholder Proposal Rule |
Womble Bond Dickinson (US) LLP |
| Nov 13 2019 |
Best Interest Standard of Care for Advisors #17 |
Faegre Drinker |
| Nov 13 2019 |
SEC Files Suit Against Company For Allegedly Impeding Investors From Blowing the Whistle |
Proskauer Rose LLP |
| Nov 12 2019 |
SEC Enforcers Continue to Focus on Undisclosed Fees |
Proskauer Rose LLP |
| Nov 11 2019 |
Delaware Update: Court of Chancery Declines to Bind a Non-signatory Parent Corporation to Forum Selection Clause |
Sheppard, Mullin, Richter & Hampton LLP |
| Nov 8 2019 |
SEC Proposes Changes to the Advertising and Cash Solicitation Rules for Investment Advisers |
Katten |
| Nov 8 2019 |
SEC Announces Extension of Temporary Measure to Facilitate Implementation of MiFID II |
Katten |
| Nov 8 2019 |
SEC Proposes Amendments Relating to Proxy Voting Advice |
Katten |
| Nov 8 2019 |
CFTC Approves Three Foreign Board of Trade Applications |
Katten |
| Nov 8 2019 |
SEC Proposes New Amendments to Modernize Shareholder Proposal Rules |
Katten |
| Nov 7 2019 |
SEC Releases FY 2019 Enforcement Results: Increases in Investment Advisor Actions and Maintained Focus on Individual Accountability |
Proskauer Rose LLP |
| Nov 7 2019 |
Best Interest Standard of Care for Advisors #16 |
Faegre Drinker |
| Nov 7 2019 |
State Law And Shareholder Representatives |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Nov 6 2019 |
SEC Announces the Formation of Asset Management Advisory Committee |
Proskauer Rose LLP |
| Nov 6 2019 |
Did The SEC Misstate State Law In Proposing Changes To Shareholder Proposal Rule? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Nov 5 2019 |
OFSI Finds Its Teeth While OFAC Continues to Enforce Against Non-U.S. Corporates |
Greenberg Traurig, LLP |
| Nov 5 2019 |
Upcoming/New CFIUS Filing: WSP Global Inc. and Ecology and Environment Inc. |
Squire Patton Boggs (US) LLP |
| Nov 5 2019 |
Ninth Circuit Considers Rehearing in ERISA Arbitration Case |
McDermott Will & Schulte LLP |
| Nov 2 2019 |
SEC Proposes Modernization of Filing Fee Disclosure and Payment Methods |
Katten |
| Nov 2 2019 |
Another Postponement of Margin Rules for Covered Agency Transactions Under FINRA Rule 4210 |
Katten |
| Nov 1 2019 |
ISS Files Suit Against SEC for Proxy Voting Advice Guidance |
Katten |
| Nov 1 2019 |
SEC Issues Order Instituting Proceedings Regarding CBOE’s Proposed Rule Change on Off-Floor Position Transfers |
Katten |
| Nov 1 2019 |
Court Finds Forum Selection Clause That Includes Jury Trial Waiver To Be Unenforceable |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 31 2019 |
SEC Attempts to Halt Telegram’s Planned Token Distribution |
Proskauer Rose LLP |
| Oct 31 2019 |
So You Think Tailored FCPA Training Does Not Matter? – Think Again |
Squire Patton Boggs (US) LLP |
| Oct 31 2019 |
Regulatory Moves Show Financial Watchdogs Working Smarter, if Not Harder |
Sheppard, Mullin, Richter & Hampton LLP |
| Oct 31 2019 |
Spoofing Enforcement Intensifies |
Sheppard, Mullin, Richter & Hampton LLP |
| Oct 30 2019 |
SEC Provides Guidance on Ordinary Business Exclusion for Shareholder Proposals and on Proof of Ownership Letters |
Jones Walker LLP |
| Oct 30 2019 |
SEC Division of Investment Management Releases FAQs Regarding Disclosure of Financial Conflicts Related to Investment Adviser Compensation |
Faegre Drinker |
| Oct 30 2019 |
Best Interest Standard of Care for Advisors #15 |
Faegre Drinker |
| Oct 30 2019 |
Time Is Of The Essence Clause Does Not Necessarily Result In Breach For Late Performance |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 29 2019 |
SEC Settles Charges Against Two Advisers Relating to Variable Insurance Portfolios |
Vedder Price |
| Oct 29 2019 |
SEC Adopts New "Test the Waters" Rule |
Vedder Price |
| Oct 29 2019 |
A Review of Recent Whistleblower Developments: October 29, 2019 |
Foley & Lardner LLP |
| Oct 29 2019 |
FinTech and Regulation: BitBlog Weekly Update October 29, 2019 |
Polsinelli PC |
