| Aug 6 2019 |
Is There Securities Fraud Without Reliance And Causation? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Aug 5 2019 |
Bridging the Week by Gary DeWaal: July 29 – August 2, and August 5, 2019 (Parallel Spoofing Charges; UK Regulator’s Digital Asset Perimeter) |
Katten |
| Aug 5 2019 |
A Pocketful of Quarters: SEC Provides Digital Asset Offering Guidance |
Polsinelli PC |
| Aug 5 2019 |
Amendments to ‘Volcker Rule’ to Exclude Certain ‘Small’ Banks From Key Prohibitions |
Greenberg Traurig, LLP |
| Aug 5 2019 |
ILPA Principles 3.0: Focusing on Enhancing Transparency in Private Equity Funds and Alternative Investments |
Katten |
| Aug 5 2019 |
SLGs Window to Reopen! And Another Change. |
Squire Patton Boggs (US) LLP |
| Aug 5 2019 |
CeDe - Acronym, Initialization or Portmanteau? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Aug 3 2019 |
Pending CFIUS Filing: Elastic N.V. and Endgame Inc. |
Squire Patton Boggs (US) LLP |
| Aug 1 2019 |
Board Observers’ Functions Are Distinct from Directors for Liability Purposes Under Section 11 |
Wiggin and Dana LLP |
| Aug 1 2019 |
SEC/FINRA Joint Statement on Custody |
Greenberg Traurig, LLP |
| Aug 1 2019 |
SEC Clears First Two Regulated Token Offerings |
Greenberg Traurig, LLP |
| Aug 1 2019 |
SEC Adopts Amendments to Loan Provision of Auditor Independence Rules |
Vedder Price |
| Aug 1 2019 |
SEC Issues ‘No Action’ Letters Allowing Sales of Utility Tokens |
Greenberg Traurig, LLP |
| Aug 1 2019 |
SEC Staff Provides Conditional No-Action Assurance for Index Funds Unable to Comply with Diversification Requirements Due to Large Index Constituents |
Vedder Price |
| Jul 31 2019 |
SEC Settles Charges against Custodian for Allegedly Overcharging Investment Company Clients |
Vedder Price |
| Jul 31 2019 |
SEC Chairman Jay Clayton Announces Modification to Process for Considering Contemporaneous Settlement Offers and Waiver Requests |
Vedder Price |
| Jul 31 2019 |
The PUHCA, A Long Time Passing |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jul 29 2019 |
Complying with the SEC's New Requirements for InLine XBRL Tagging of Cover Page Information: Clarification Regarding Exhibit 104 |
Bracewell LLP |
| Jul 29 2019 |
Bridging the Week by Gary DeWaal: July 22 – 26, and July 29, 2019 (Or ≠ And; Actual Delivery = Real Delivery; Gaming Tokens ≠ Securities; Ain’t Broke = Working) |
Katten |
| Jul 28 2019 |
Facebook SEC Enforcement Action Has Important Implications for Cybersecurity Whistleblowing |
Zuckerman Law |
| Jul 27 2019 |
Delay of Final Implementation of Swap Initial Margin Rules |
Katten |
| Jul 27 2019 |
CBOE Proposes Amendments to Rule 6.49A Concerning Off-Floor Position Transfers Including RWA Transfers |
Katten |
| Jul 26 2019 |
State Of Formation Does Not Define Securities Law's Jurisdiction |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jul 25 2019 |
Possible Delay of CECL for Certain Small Banks and Nonpublic Entities |
Jones Walker LLP |
| Jul 24 2019 |
SEC Interpretation Offers Clarification on an Investment Adviser’s Duties of Care and Loyalty |
Faegre Drinker |
| Jul 24 2019 |
Five Common Equity Incentive Plan Mistakes |
Mintz |
| Jul 22 2019 |
Cryptocurrency Regulatory Complexities Multiply |
Carlton Fields |
| Jul 22 2019 |
Bridging the Week by Gary DeWaal: July 15 – 19, and July 22, 2019 (Misvaluations for Higher Bonus; Failure to Supervise; New Eligible Block Trade Participants) |
Katten |
| Jul 22 2019 |
On Cybersecurity, Grab the Low-Hanging Fruit |
Carlton Fields |
| Jul 20 2019 |
Supreme Court Casts a Wide Net with Rule 10b-5 |
Carlton Fields |
| Jul 19 2019 |
FINRA Publishes Guidance on Public Offering Review Process and Private Placement Filings |
Katten |
| Jul 19 2019 |
FINRA Proposes Rule Change Relating to Exemptions from Order Audit Trail System Recording and Reporting Requirements |
Katten |
| Jul 19 2019 |
ESMA Consults on Compliance Function for UK and EU Investment Firms |
Katten |
| Jul 19 2019 |
Illinois Supreme Court Nails Down Status in Big Market: Indexed Annuities Are Not Securities |
Carlton Fields |
| Jul 19 2019 |
A Review of Recent Whistleblower Developments: July 2019 |
Foley & Lardner LLP |
