| May 28 2019 |
$4.5M SEC Whistleblower Award Underscores Incentives to Report Internally |
Zuckerman Law |
| May 28 2019 |
SEC Awards Whistleblower More Than $4.5 Million |
Proskauer Rose LLP |
| May 24 2019 |
Proposed Amendments to NFA Interpretive Notice Compliance Rule 2-9: Supervision of Branch Offices and Guaranteed IBs |
Katten |
| May 24 2019 |
CFTC and SEC Participate in the Signing Ceremony for the IOSCO Enhanced Multilateral MOU Concerning Cross-Border Enforcement |
Katten |
| May 24 2019 |
Proposed Amendments to NFA Bylaw 1301 Regarding the Schedule of Dues and Assessments |
Katten |
| May 24 2019 |
FINRA Issues Regulatory Notice Reminding Member Firms about CAT Reporting Deadlines |
Katten |
| May 24 2019 |
FINRA Proposes Rule to Extend the Implementation of Rule Related to Margin Requirements for Credit Default Swaps |
Katten |
| May 23 2019 |
Summer Is Coming – Are You Prepared for the SEC OCIE Cybersecurity Sweep? |
Greenberg Traurig, LLP |
| May 23 2019 |
Model Rule for Securities Administrators Approved by NASAA |
Robinson & Cole LLP |
| May 22 2019 |
Supreme Court Denies Opportunity to Clarify Whether the Federal Securities Laws Carry a Duty to Update |
Mintz |
| May 21 2019 |
What is the Process for a Whistleblower to Receive an SEC Whistleblower Award? |
Zuckerman Law |
| May 20 2019 |
Yan v. ReWalk Robotics, Ltd.: No Substitute for Standing in the District of Massachusetts |
Pierce Atwood LLP |
| May 20 2019 |
OCIE Provides Registered Advisers and Broker-Dealers Guidance on Data Protection Compliance Obligations Under Reg S-P and Safeguards Rule |
Greenberg Traurig, LLP |
| May 17 2019 |
SEC Proposes Amendments to Update the Accelerated and Large Accelerated Filer Definitions |
Katten |
| May 15 2019 |
SEC Proposes Amendments to Financial Disclosures about Business Acquisitions and Dispositions |
Ballard Spahr LLP |
| May 13 2019 |
Bridging the Week by Gary DeWaal: May 6 – 10 and May 13, 2019 (So Many Guidances by CFTC Enforcement, FinCEN and FINRA, So Little Time; The SEC and Jackson Pollock) |
Katten |
| May 13 2019 |
DC Circuit Opinion Reaffirms Fiduciary and Disclosure Obligations of Advisers While Rejecting SEC Finding of “Willful” Violations |
Proskauer Rose LLP |
| May 13 2019 |
Federal Securities Litigation and Regulation: A Periodic Review and Predictions for the Remainder of 2019 |
Cadwalader, Wickersham & Taft LLP |
| May 10 2019 |
SEC-Proposed Amendments to Financial Disclosures for Acquisitions and Dispositions of Businesses |
Katten |
| May 10 2019 |
SEC Proposes Changes to the Financial Statement Requirements Relating to Acquisitions and Dispositions of Businesses |
Greenberg Traurig, LLP |
| May 10 2019 |
ESMA Publishes Final Reports on Technical Advice on Integrating Sustainability Risks and Factors in the UCITS Directive, AIFMD and MiFID II |
Katten |
| May 9 2019 |
Jackson Hewitt Hit with “No Poaching” Clause Lawsuit |
Stark & Stark |
| May 9 2019 |
How Close A Relation Is Section 25110 To Section 12(a)? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| May 9 2019 |
Kraft’s Restatement Calls Into Question SEC’s Light Touch Approach to Enforcement |
Zuckerman Law |
| May 8 2019 |
Proposed Legislation Would Strengthen Protections for Corporate Whistleblower |
Zuckerman Law |
| May 8 2019 |
Friendship Formed In Middle School Yields Duty of Trust And Confidence |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| May 7 2019 |
The Robare Ruling Regarding “May” Disclosures and “Willfulness” |
Faegre Drinker |
| May 7 2019 |
SEC Proposes Closed-End Fund Offering Reform |
Vedder Price |
| May 6 2019 |
Bridging the Week by Gary DeWaal: April 29 – May 3 and May 6, 2019 (Fintech Charters; Fractional Reserves OK for Stablecoins?) [VIDEO] |
Katten |
| May 6 2019 |
SEC Extends Compliance Date for Regulation NMS Changes |
Katten |
| May 3 2019 |
CFTC Chair Proposes Relief for Phase 5 Initial Margin Implementation |
Katten |
| May 3 2019 |
CFTC Proposes Amendments to DCO Regulations |
Katten |
| May 2 2019 |
In a First, SEC Grants Exemptive Relief to Non-Transparent Active ETF |
Greenberg Traurig, LLP |
| May 2 2019 |
Alabama Federal Court Denies Motion for Summary Judgement on SOX Whistleblower Claim |
Proskauer Rose LLP |
| May 1 2019 |
Opportunity Zones Update: New Proposed Treasury Regulations (PART I) |
Sheppard, Mullin, Richter & Hampton LLP |
