| Oct 29 2019 |
SEC Settles Additional Share Class Selection Actions |
Vedder Price |
| Oct 28 2019 |
SEC Settles with Adviser for Overcharging Clients |
Vedder Price |
| Oct 28 2019 |
SEC Staff Issues Guidance on Performance and Fee Disclosure |
Vedder Price |
| Oct 25 2019 |
Beltway Buzz, October 25, 2019 |
Ogletree, Deakins, Nash, Smoak & Stewart, P.C. |
| Oct 25 2019 |
CFTC, Among Other US Financial Regulatory Agencies, Joins the Global Financial Innovation Network |
Katten |
| Oct 25 2019 |
Best Interest Standard of Care for Advisors #14 |
Faegre Drinker |
| Oct 24 2019 |
Does Section 25400(d) Require Reliance? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 23 2019 |
SEC Expands “Testing-the-Waters” Accommodation to All Issuers, Regardless of EGC Status |
Jones Walker LLP |
| Oct 23 2019 |
Section 9(a)(4) Versus Section 25400(d) |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 22 2019 |
Moving on from LIBOR |
Squire Patton Boggs (US) LLP |
| Oct 22 2019 |
CLA Corporations Committee Comments On Proposed Regulation S-K Changes |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 21 2019 |
European Commission Adopts Disclosure Templates for EU Securitisation Reporting |
Cadwalader, Wickersham & Taft LLP |
| Oct 18 2019 |
SEC Announces the Formation of Asset Management Advisory Committee |
Katten |
| Oct 18 2019 |
SEC Issues Legal Bulletin Regarding Shareholder Proposals Exclusion |
Katten |
| Oct 18 2019 |
Is A Pre-Issuance Form D Filing Requirement In The Offing? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 18 2019 |
Waiver of Appraisal Rights in a Stockholder Agreement is Enforceable Under Delaware Law |
K&L Gates LLP |
| Oct 17 2019 |
SEC Adopts Exchange-Traded Fund Rule |
Faegre Drinker |
| Oct 16 2019 |
Third Circuit Reversal a Pyrrhic Win for SEC in Ongoing Statute of Limitations Saga |
Sheppard, Mullin, Richter & Hampton LLP |
| Oct 16 2019 |
Best Interest Standard of Care for Advisors #13 |
Faegre Drinker |
| Oct 15 2019 |
The SEC’s SCSD Initiative Second Wave and the Applicability of the President’s Recent Executive Order |
Faegre Drinker |
| Oct 14 2019 |
Test The Waters, But Don’t Make Waves |
Mitchell Silberberg & Knupp LLP |
| Oct 14 2019 |
US District Courts Start Applying Kisor v. Wilkie; Is Auer Deference Now a “Paper Tiger”? |
Squire Patton Boggs (US) LLP |
| Oct 11 2019 |
SEC Proposes to Require Proposed NMS Plan Fee Amendments to Follow Public Notice, Comment and Approval Procedure |
Katten |
| Oct 10 2019 |
Five Tips to Mitigate Risk in Cryptocurrency Mergers and Acquisitions |
Polsinelli PC |
| Oct 8 2019 |
Digging into the SEC’s Final RIA Guidance – And Why It Repeatedly Uses the Term “Best Interest” |
Faegre Drinker |
| Oct 7 2019 |
New York Establishes Six-Year Statute of Limitation for Prosecution of Claims under the Martin Act |
Proskauer Rose LLP |
| Oct 4 2019 |
SEC Proposes to Amend Quotation Rule for OTC Securities |
Katten |
| Oct 4 2019 |
FINRA Amends Rules 2210 and 2241 to Conform to FAIR Act |
Katten |
| Oct 3 2019 |
Third Circuit Holds that SLUSA Does Not Preclude Class Action Opt-Outs from Pursuing Individual Actions |
Sheppard, Mullin, Richter & Hampton LLP |
| Oct 3 2019 |
SEC Charges Two Advisers with Fiduciary Duty Breaches for Failing to Disclose Conflicts of Interest relating to the Receipt of Compensation from Client Investments in Mutual Funds |
Vedder Price |
| Oct 3 2019 |
SEC Issues Proxy Voting Guidance |
Vedder Price |
| Oct 2 2019 |
SEC Adopts Final Rule on “Test-the-Waters” Communications |
Proskauer Rose LLP |
| Oct 2 2019 |
Best Interest Standard of Care for Advisors #12 |
Proskauer Rose LLP |
| Oct 2 2019 |
OCIE Releases Risk Alert Relating to Principal Transaction and Agency Cross Trade Compliance Issues |
Vedder Price |
| Oct 2 2019 |
SEC Staff Announces Rule 14a-8 No-Action Request Process Changes |
Vedder Price |
