| Sep 20 2019 |
DOJ and CFTC Bring Actions Against Precious Metals Traders |
Faegre Drinker |
| Sep 20 2019 |
CFTC and European Commission Issue Joint Statement Following Meeting on Cross-Border Derivatives Regulatory Issues |
Katten |
| Sep 20 2019 |
CFTC Unanimously Approves Measures Related to Position Limits and Position Accounting for Security Futures Products and Public Rulemaking Procedures |
Katten |
| Sep 19 2019 |
Insights From the First Wave of Critical Audit Matters |
Bracewell LLP |
| Sep 19 2019 |
SEC Proposes to Make Significant Revisions to Disclosure Requirements for Bank and Savings and Loan Holding Companies |
Jones Walker LLP |
| Sep 18 2019 |
Compliance Officers Beware: Your Conversations With the NFA During Examinations Could Lead to Charges |
Faegre Drinker |
| Sep 18 2019 |
SEC Looks to Modernize Disclosure Approach |
Sheppard, Mullin, Richter & Hampton LLP |
| Sep 18 2019 |
Best Interest Standard of Care for Advisors #10 |
Faegre Drinker |
| Sep 18 2019 |
SEC Questions Puts Cart Before The Horse |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Sep 17 2019 |
Hart-Scott-Rodino Annual Report for Fiscal Year 2018: Decreases in Second Requests but Increased Likelihood of Challenged Deal Where Second Request Issued |
Cadwalader, Wickersham & Taft LLP |
| Sep 16 2019 |
SEC Changes Its Approach to the No-Action Request Process for Excluding Shareholder Proposals under Rule 14a-8 |
Jones Walker LLP |
| Sep 13 2019 |
No Equal Dignity For Corporate Officers |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Sep 13 2019 |
SEC Staff Announces Changes to Rule 14a-8 No-Action Request Process |
Katten |
| Sep 13 2019 |
SEC: Amendments to CAT NMS Plan & Small Entity Compliance Guide for RegBI & Form CRS |
Katten |
| Sep 13 2019 |
FINRA and SEC Issue Joint Statement on Security Token and Custody Rules |
Polsinelli PC |
| Sep 11 2019 |
The SEC Files Another Litigated Disclosure Case – With More Violations |
Faegre Drinker |
| Sep 10 2019 |
Upcoming/New CFIUS Filing: Tonghao Information Technology, and UTStarcom Holdings Corp. |
Squire Patton Boggs (US) LLP |
| Sep 9 2019 |
BitBlog Weekly Update |
Polsinelli PC |
| Sep 9 2019 |
An Overview of the SEC’s “Regulation Best Interest” and Form CRS |
Epstein Becker & Green, P.C. |
| Sep 7 2019 |
The New Standards for Investor Protection: An Analysis of Regulation Best Interest, Form CRS and Two Interpretations of the US Investment Advisers Act |
Vedder Price |
| Sep 5 2019 |
SEC Proposes Changes to Reporting Regulations Impacting Environmental Disclosures |
Beveridge & Diamond PC |
| Sep 4 2019 |
Life Sciences Company Settles Regulation FD Charges With SEC |
McDermott Will & Schulte LLP |
| Sep 4 2019 |
Capital Formation–Have You Heard...? |
Godfrey & Kahn S.C. |
| Sep 4 2019 |
Is The Court of Chancery Sending Cases To California? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Sep 3 2019 |
OCIE Issues Risk Alert Relating to Investment Adviser Oversight of Supervised Persons with Disciplinary Histories |
Vedder Price |
| Sep 3 2019 |
Antitrust Enforcers Target Securities Transactions for Violating the HSR ACT |
Polsinelli PC |
| Sep 3 2019 |
Why The CSL's Application To The Sale Of LLC Membership Interests May Be Unknown And Unknowable At The Time Of Sale |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Aug 30 2019 |
SEC Increases Registration Statement Filing Fees for Fiscal Year 2020 |
Katten |
| Aug 30 2019 |
ASX Releases Compliance Update For Listed Entities On Cryptocurrency-Related Activities |
K&L Gates LLP |
| Aug 30 2019 |
SEC Guidance Will Impact Roles of Proxy Advisers and Investment Advisers in Proxy Context |
Womble Bond Dickinson (US) LLP |
| Aug 29 2019 |
SEC Releases Guidance to Clarify Investment Advisers’ Proxy Voting Responsibilities and Interpretation of Proxy Rules to Voting Advice |
Faegre Drinker |
| Aug 28 2019 |
SOS Amends Form LLC-1 To Warn Of Perjury |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Aug 27 2019 |
Impact of Cyan, Inc. v. Beaver County Decision [VIDEO] |
Mintz |
| Aug 27 2019 |
Best Interest Standard of Care for Advisors #9 |
Faegre Drinker |
| Aug 27 2019 |
BitBlog Weekly Summary: Digital Asset Regulations in New York State |
Polsinelli PC |
