| Oct 22 2018 |
SEC Issues $1 Million Identity Theft Rule Fine |
Sheppard, Mullin, Richter & Hampton LLP |
| Oct 22 2018 |
Bridging the Week by Gary DeWaal: October 15 - 19 and October 22, 2018 (Bitcoin Fraud; Smart Contracts; Actual Delivery; Reg AT) |
Katten |
| Oct 22 2018 |
Buyer Liability Under The California Corporate Securities Law |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 19 2018 |
SEC Reopens Comment Period for Unfinished Security-Based Swap Rules |
Katten |
| Oct 19 2018 |
Court Finds Section 12(a) Claim Fails For Failure To Plead Scienter? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 18 2018 |
Report Issued On Two-For-One Executive Order, But What About The SEC? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 15 2018 |
Bridging the Weeks by Gary DeWaal: October 1 - 12 and October 15, 2018 (Self-Reporting Pays; Costly Cyber-Attack; No Systemic Threat by Crypto-Assets) |
Katten |
| Oct 15 2018 |
SEC Adopts Amendments to Rule 15c2-12 |
Bracewell LLP |
| Oct 14 2018 |
New 20% Rule Offers Greater Clarity and Flexibility for Nasdaq-listed Companies |
Proskauer Rose LLP |
| Oct 13 2018 |
The Long Wait Is Not Over, but the SEC Advances its Security-Based Swap Dealer Rules and Reopens the Comment Period for Capital and Margin Requirements for Security-Based Swap Dealers |
Covington & Burling LLP |
| Oct 12 2018 |
Definitely Maybe? The SEC Returns to Security-Based Swap Dealer Regulation |
Cadwalader, Wickersham & Taft LLP |
| Oct 12 2018 |
ESMA Publishes Opinion on Position Limits on UK Natural Gas Contracts Proposed by the FCA |
Katten |
| Oct 11 2018 |
SEC Charges Broker-Dealer/Adviser With Inadequate Cybersecurity Procedures |
Katten |
| Oct 10 2018 |
Compliance Risks from Local Content Requirements – Considerations for Doing Business in Africa |
Covington & Burling LLP |
| Oct 10 2018 |
U.S. District Court Holds that Certain Claims by Opt-Out Plaintiffs Are Barred by the Statute of Repose |
Mintz |
| Oct 9 2018 |
Can a Whistleblower Disclosure About Misleading Earnings Projections Qualify for an SEC Whistleblower Award? |
Zuckerman Law |
| Oct 9 2018 |
Another Court Rules Virtual Currencies are Commodities Subject to CFTC Oversight |
Faegre Drinker |
| Oct 9 2018 |
Securities Group News: Disclosure Requirements for Tax-Exempt Bonds - Significant Changes Made by the SEC Under its Recently Amended Disclosure Rules |
Murtha Cullina |
| Oct 8 2018 |
Put It In Prospectus: Reviewing the Congressional Lease Approval Process in Light of the Upcoming Lower Manhattan SEC Lease |
Covington & Burling LLP |
| Oct 8 2018 |
Can a whistleblower disclosure to the SEC about cybersecurity qualify for a SEC whistleblower award? |
Zuckerman Law |
| Oct 5 2018 |
CFTC Releases White Paper Addressing Cross-Border Swaps Regulation; CFTC and Australian Securities Regulator Sign FinTech Cooperation Agreement |
Katten |
| Oct 5 2018 |
ESMA Updates Its Opinion on Ancillary Activity Calculations |
Katten |
| Oct 4 2018 |
SEC Charges Broker-Dealer and Investment Adviser with Violations of the Safeguards Rule and Identity Theft Red Flags Rule |
Proskauer Rose LLP |
| Oct 3 2018 |
Is Artificial Intelligence The Future Of Rulemaking? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 1 2018 |
Bridging the Week by Gary DeWaal: September 24 - 28 and October 1, 2018 (Manipulation; Insider Trading; What Is a Commodity?; Bitcoin; Cyber Intrusion) |
Katten |
| Sep 29 2018 |
ESMA Announces Details of Two New Data Completeness Indicators for Trading Venues |
Katten |
| Sep 28 2018 |
ECON Votes to Adopt Draft Reports on Revised EU Prudential Framework for Investment Firms |
Katten |
| Sep 28 2018 |
SEC Adopts Amendments that Simplify and Update Disclosure Requirements |
McDermott Will & Schulte LLP |
| Sep 28 2018 |
SCOTUS Keeps Door Open for Federal-Law, State-Court Securities Class Actions. Where Does This Leave Katz? |
Foley & Lardner LLP |
| Sep 27 2018 |
New York Federal Court’s View on Cryptocurrency as Securities |
Sheppard, Mullin, Richter & Hampton LLP |
| Sep 26 2018 |
SEC Tightens Alternative Trading Platform Oversight |
Sheppard, Mullin, Richter & Hampton LLP |
| Sep 25 2018 |
SEC Reaches Settlement with Adviser Relating to Use of Hypothetical Back-tested Performance Information in Marketing Material |
Vedder Price |
| Sep 25 2018 |
Adviser Settles SEC Administrative Proceeding Regarding Alleged Failure to Safeguard Retail Investor Assets |
Vedder Price |
| Sep 25 2018 |
SEC Extends Registration Requirements for Investment Companies and Broker Dealers to ICO/Crypto Firms |
Proskauer Rose LLP |
| Sep 25 2018 |
Third Circuit Affirms Lower Court Decision in Favor of Investment Adviser in Section 36(b) Excessive Fee Case |
Vedder Price |
