| Dec 27 2018 |
Surprise! The SEC Coins A Nearly Novel Disclosure Requirement |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Dec 26 2018 |
Court Decision Reinforces SAR Obligations of Penny Stock Clearing Brokers |
Ballard Spahr LLP |
| Dec 22 2018 |
SEC Proposes Rule and Rule Amendments For Fund of Funds |
Faegre Drinker |
| Dec 21 2018 |
SEC Adopts Transaction Fee Pilot for NMS Stocks |
Katten |
| Dec 21 2018 |
SEC Proposes Risk Mitigation Rules for Uncleared Security-Based Swaps |
Katten |
| Dec 21 2018 |
SEC Agrees No Permission Required |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Dec 20 2018 |
U.S. Attorney’s Office for the Southern District of New York Announces First-Ever Criminal Bank Secrecy Act Charges Against a U.S.-Based Broker-Dealer |
Faegre Drinker |
| Dec 20 2018 |
Clearing Broker Continues to Take Aim at SEC’s Ability to Enforce the BSA |
Ballard Spahr LLP |
| Dec 19 2018 |
Loan Syndication and EU Competition Law |
Sheppard, Mullin, Richter & Hampton LLP |
| Dec 18 2018 |
SEC Adopts New Rules Permitting Covered Investment Fund Research Reports |
Vedder Price |
| Dec 17 2018 |
Bridging the Week by Gary DeWaal: December 10 - 14 and December 17, 2018 (Bitcoin; Ether; Blue Sheets; CPO Internal Controls; Disruptive Trading) |
Katten |
| Dec 16 2018 |
NFA Proposes Amendments Incorporating Swaps into Compliance Rules and Interpretive Notices; NFA Proposes Interpretive Notice Regarding CPO Internal Controls Systems |
Katten |
| Dec 14 2018 |
Why Does The SEC Insist That Some Defendants Lie? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Dec 11 2018 |
Start Raising Capital Or Wait For Additional Guidance? |
Sills Cummis & Gross P.C. |
| Dec 10 2018 |
Coverage for Government Investigations and Warranty of No Known Claims |
Squire Patton Boggs (US) LLP |
| Dec 7 2018 |
SEC Proposed Rule Changes To Nasdaq Rule and Adopts New Securities Act Rule |
Katten |
| Dec 5 2018 |
First Punch: Floyd Mayweather and DJ Khaled Settle with SEC Over Unlawful Touting of ICOs |
Proskauer Rose LLP |
| Dec 3 2018 |
Bridging the Weeks by Gary DeWaal: November 19 - 30 and December 3, 2018 (Investment Profits; ICOs; Taxes by Bitcoin; Spoofing) |
Katten |
| Dec 3 2018 |
SEC Is On The Look Out For Touts |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Nov 30 2018 |
SEC Issues New Strategic Plan for Fiscal Years 2018–2022 |
Vedder Price |
| Nov 30 2018 |
SEC Keeps Cryptocurrencies in Crosshairs With First Enforcement Action Against Unregistered Token Exchange |
IMS Legal Strategies |
| Nov 30 2018 |
Recent Remarks by Dalia Blass, Director of the SEC’s Division of Investment Management, at Industry Conferences |
Vedder Price |
| Nov 30 2018 |
Insurance Companies Obtain Relief to Use Statutory Financial Statements in Registration Statements Filed on Form S-1 for Certain Insurance Products |
Vedder Price |
| Nov 30 2018 |
OCIE Issues Risk Alert on the Cash Solicitation Rule |
Vedder Price |
| Nov 30 2018 |
OCIE Announces Risk-Based Sweep Exam of Funds, ETFs and Advisers |
Vedder Price |
| Nov 30 2018 |
SEC and CFTC FY2018 Results: Looking Back . . . and Looking Forward |
Faegre Drinker |
| Nov 28 2018 |
SEC Enforcement’s Annual Report Prioritizes Retail Investors, Cryptocurrency, Cybercrime, and Individual Accountability |
Sheppard, Mullin, Richter & Hampton LLP |
| Nov 28 2018 |
Best Interest and Best Practices #10: What Does Best Interest Mean . . . In the Real World? (Part 2) |
Faegre Drinker |
| Nov 28 2018 |
SEC’s latest Cyber-Fraud ROI Indicates Future Enforcement Against Hacker Victims . . . Fool Me Twice |
Sheppard, Mullin, Richter & Hampton LLP |
| Nov 28 2018 |
State Securities Regulators Are Increasing Actions Against Cryptocurrency Issuers and Exchanges |
Steptoe & Johnson PLLC |
| Nov 27 2018 |
Smart Contract Developers – Beware and Lawyer Up! |
Sheppard, Mullin, Richter & Hampton LLP |
| Nov 27 2018 |
SEC Releases FY 2018 Whistleblower Program Annual Report |
Proskauer Rose LLP |
| Nov 26 2018 |
Valuation of Illiquid Securities as a Focus of Recent Enforcement Actions |
Proskauer Rose LLP |
| Nov 24 2018 |
Dismissal of Involuntary Bankruptcy Petition Against Taberna CDO is Win for Securitization Industry |
Cadwalader, Wickersham & Taft LLP |
| Nov 21 2018 |
SEC Division of Investment Management Provides Updates to the Investment Company Reporting Modernization Frequently Asked Questions |
Faegre Drinker |
