| Nov 20 2018 |
Custody Rule Refresher: Review of Most Recent SEC Guidance |
von Briesen & Roper, s.c. |
| Nov 19 2018 |
Continued SEC Enforcement in Digital Token Industry Likely Foretells Increase in Private Claims |
Polsinelli PC |
| Nov 19 2018 |
Why Be Wary Of Section 11 Liability? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Nov 16 2018 |
SEC Approves New Supplement to Options Disclosure Document |
Katten |
| Nov 16 2018 |
SEC Whistleblower Program Continues to Steamroll Securities Fraudsters, Issue Record-Breaking Awards |
Zuckerman Law |
| Nov 16 2018 |
How To Avoid A Section 11 Liability In A Stock-For-Stock Merger |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Nov 15 2018 |
Registration Requirements for “Decentralized” Exchanges under the Federal Securities Laws: The Case of EtherDelta |
Proskauer Rose LLP |
| Nov 15 2018 |
OCIE Targeting Certain Mutual Funds, ETFs and Advisers in New Compliance Inspection Initiatives |
Faegre Drinker |
| Nov 15 2018 |
Disclosure Training Webinar |
Bracewell LLP |
| Nov 14 2018 |
SEC Charges EtherDelta Founder With Operating an Unregistered Exchange |
Polsinelli PC |
| Nov 13 2018 |
Stakeholder Report on ICOs and Crypto Assets |
K&L Gates LLP |
| Nov 13 2018 |
Best Interest and Best Practices #9: Improving Retirement Outcomes |
Faegre Drinker |
| Nov 12 2018 |
Bridging the Week by Gary DeWaal: November 5 - 9 and November 12, 2018 (To Tell the Truth; Smart Contracts; Swaps Trade Execution Requirements) |
Katten |
| Nov 9 2018 |
SEC Stops Fraudulent ICO That Falsely Claimed SEC Approval |
Polsinelli PC |
| Nov 8 2018 |
SEC Charges ICO Token Offering Platform as an Unregistered Broker-Dealer |
Polsinelli PC |
| Nov 5 2018 |
California's Obscure Regulation of Share Exchange Tender Offers |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Nov 1 2018 |
Our Music Festival - Empowering a Decentralized Fanbase with Blockchain |
Sheppard, Mullin, Richter & Hampton LLP |
| Nov 1 2018 |
CFTC Whistleblower Program Annual Report Reveals Active Year and Success in Enlisting Whistleblowers to Combat Commodities Fraud |
Zuckerman Law |
| Nov 1 2018 |
The Case Of The Non-Existent Stock Options |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 29 2018 |
SEC Launches FinHub |
Proskauer Rose LLP |
| Oct 25 2018 |
SEC Clarifies Best Practices for Board Analysis of Shareholder Proposals |
McDermott Will & Schulte LLP |
| Oct 25 2018 |
SEC Expands Emphasis on Cybersecurity with Cyber Fraud Report |
McDermott Will & Schulte LLP |
| Oct 24 2018 |
ALJ Deals Blow to SEC’s Fraud Case Against Hedge Fund Manager |
Faegre Drinker |
| Oct 24 2018 |
When To Worry About Blue Sky Laws |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 23 2018 |
Judge Rakoff Highlights the Financial Risk to Objectors of Class Settlements |
Mintz |
| Oct 23 2018 |
SEC Reaches Settlements with Two Registered Investment Advisers Regarding Improper Cross Trades |
Vedder Price |
| Oct 23 2018 |
SEC Staff Withdraws Proxy Advisory Guidance |
Vedder Price |
| Oct 23 2018 |
SEC Settles Charges Against Firm for Inadequate Cybersecurity and Identity Theft Prevention Programs |
Vedder Price |
| Oct 23 2018 |
Ninth Circuit Affirms in Part District Court Dismissal of Class Claims in Northstar Financial v. Schwab Investments Case |
Vedder Price |
| Oct 23 2018 |
SEC Chairman Clayton Issues Statement About SEC Staff Views |
Vedder Price |
| Oct 22 2018 |
Stephanie Avakian, Co-Director of the SEC’s Division of Enforcement, Assesses the Effectiveness of the SEC’s Enforcement Program |
Vedder Price |
| Oct 22 2018 |
Testimony of Dalia Blass Before the House Subcommittee on Capital Markets, Securities and Investment |
Vedder Price |
| Oct 22 2018 |
SEC Staff No-Action Letter Allows Fund Boards to Rely on CCO Representations for Affiliated Transactions |
Vedder Price |
| Oct 22 2018 |
SEC Special Report: Rampant Business Email Compromises Require Reassessment of Internal Accounting Controls |
Ballard Spahr LLP |
| Oct 22 2018 |
Cyber-Fraud Victim or Securities Law Violator? |
Faegre Drinker |
