| Jul 18 2019 |
New Chair on the Block Discusses Reconstructing the Suitability Model |
Carlton Fields |
| Jul 18 2019 |
SEC Staff Asks for Time: Feels Pressure From Automatic Filing Effectiveness |
Carlton Fields |
| Jul 18 2019 |
Gulf States Gaming - Commission Meeting Minutes July 18, 2019 |
Jones Walker LLP |
| Jul 18 2019 |
DC Circuit: Willful Means Intentional Under the Advisers Act – Negligent Conduct Cannot Be Willful Conduct |
Carlton Fields |
| Jul 18 2019 |
Has OMB Reined in the SEC? |
Carlton Fields |
| Jul 17 2019 |
Unpacking the SEC’s Regulation Best Interest Package |
Carlton Fields |
| Jul 17 2019 |
Are Company Misstatements Of Diversity Actionable Under Rule 10b-5? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jul 16 2019 |
Capital Markets & Public Companies Quarterly - July 2019 |
McDermott Will & Schulte LLP |
| Jul 16 2019 |
SEC: QOF Interests Are Typically Securities |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jul 15 2019 |
Bridging the Week by Gary DeWaal: July 8 – 12, and July 15, 2019 (Crypto Custody; An International Exchange and Truth; One + One = Two) |
Katten |
| Jul 14 2019 |
Division of Trading and Markets and FINRA Staffs Issue Joint Statement on Broker-Dealer Custody of Digital Asset Securities |
Katten |
| Jul 12 2019 |
CFTC and SEC Propose Changes to Margin Requirements for Security Futures |
Katten |
| Jul 12 2019 |
SEC Qualifies Blockstack and YouNow Regulation A Offerings |
Proskauer Rose LLP |
| Jul 12 2019 |
Financial Action Task Force Drops the Regulatory Hammer on Virtual Currency |
Ballard Spahr LLP |
| Jul 11 2019 |
A Tale of Two Continents - European CMBS v U.S. CMBS & CRE CLOs |
Cadwalader, Wickersham & Taft LLP |
| Jul 10 2019 |
What to Do If the SEC Comes Knocking on Your Door [Podcast] |
Carlton Fields |
| Jul 8 2019 |
SEC Adopts Final Auditor Independence Loan Rule |
Faegre Drinker |
| Jul 8 2019 |
SEC Announces New Approach to Disqualification Waivers |
Proskauer Rose LLP |
| Jul 8 2019 |
Bridging the Week by Gary DeWaal: July 1 – 5, and July 8, 2019 (Banning Cryptocurrency Futures; Apple Computer; Position Limits Violation) |
Katten |
| Jul 8 2019 |
M&A Deal Flushes Out Bribery Scheme Leaving Seller Director with a Multi-Million Pound Hangover and Jail Time |
Greenberg Traurig, LLP |
| Jul 3 2019 |
Investment Services Regulatory Update - June 2019 |
Vedder Price |
| Jul 1 2019 |
Commission Interpretation – Standard of Conduct for Investment Advisers |
Cadwalader, Wickersham & Taft LLP |
| Jul 1 2019 |
SEC Adopts Additional Rules for Security-Based Swaps |
Katten |
| Jun 29 2019 |
SEC Adopts Capital, Margin and Segregation Requirements for Security-Based Swap Dealers and Major Participants |
Katten |
| Jun 28 2019 |
ESMA Publishes Updated l Transparency Calculations for Equity and Equity-like Instruments |
Katten |
| Jun 28 2019 |
CFTC Publishes Request for Comment on Proposed Rule Change to Cross-Border Regulatory Commitments |
Katten |
| Jun 28 2019 |
CFTC Staff Issues No-Action Relief for Floor Traders Engaged in Swaps Activity |
Katten |
| Jun 28 2019 |
SEC Adopts New Standard Of Conduct For Broker-Dealers And New Guidance On Investment Advisers' Duties |
Barnes & Thornburg LLP |
| Jun 27 2019 |
SEC Issues Concept Release to Overhaul Current Framework for Exempt Offerings |
Greenberg Traurig, LLP |
| Jun 27 2019 |
Judge Finds That Transfer Agent's Failure To Remove Restrictive Legend May Be Actionable |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jun 26 2019 |
A Dozen Securities Law Professors Stake Absolutist Position On Adviser Duties |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jun 25 2019 |
SEC Fines Fund Manager $5 Million Over Undervaluation of Assets |
Proskauer Rose LLP |
| Jun 24 2019 |
The SEC Adopts Security-Based Swap Regulations Governing Capital, Margin and Collateral Segregation |
Cadwalader, Wickersham & Taft LLP |
| Jun 21 2019 |
SEC Requests Public Comment on Improving Private Security Offering Exemptions |
Katten |
| Jun 21 2019 |
SEC’s FinHub Hosts Public Forum |
Polsinelli PC |
