| Sep 24 2018 |
SEC Settles Charges Against Adviser for Failure to Disclose Conflicts of Interest |
Vedder Price |
| Sep 24 2018 |
Investment Services Regulatory Update - September 2018 |
Vedder Price |
| Sep 24 2018 |
SEC Sues Asset Managers for Using Untested, Error Filled Quantitative Investment Models |
Katten |
| Sep 24 2018 |
Bridging the Week by Gary DeWaal: September 17 - 21 and September 24, 2018 (Spoofing; Cryptocurrency Trading Platforms; Post-Trade Allocations) |
Katten |
| Sep 21 2018 |
SEC Commissioner Jackson Gives Speech Regarding the State of America’s Stock Exchanges |
Katten |
| Sep 21 2018 |
CBOE Proposes Rule Change Relating to Qualification Examinations |
Katten |
| Sep 20 2018 |
Size Matters: SEC Helps Middle Market Companies |
Dinsmore & Shohl LLP |
| Sep 20 2018 |
UAE Securities and Commodities Authority to Regulate ICOs and Join Growing List of Regulators |
K&L Gates LLP |
| Sep 19 2018 |
Enforcing the Regulatory Landscape for Virtual Currencies: Recent Developments |
McDermott Will & Schulte LLP |
| Sep 18 2018 |
Staff Guidance - What Would California Do? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Sep 17 2018 |
SEC Releases Statement on Expiration of Tick Size Pilot |
Katten |
| Sep 17 2018 |
Bridging the Week by Gary DeWaal: September 10 - 14 and September 17, 2018 (ICOs; Registration; Audit Trail; Reporting; Blue Sheets; Supervision) |
Katten |
| Sep 17 2018 |
SEC to Whistleblowers: Report Promptly and Expect a Minimal Award if You are Culpable |
Zuckerman Law |
| Sep 17 2018 |
Crypto Crackdown – SEC Imposes Broker-Dealer and Investment Company Registration Provisions on Token Traders and a Crypto Fund |
Proskauer Rose LLP |
| Sep 13 2018 |
SEC Eliminates Redundant Disclosure Requirements |
Foley & Lardner LLP |
| Sep 13 2018 |
Are Whistleblowing Executives Protected Against Retaliation? |
Zuckerman Law |
| Sep 13 2018 |
Best Interest and Best Practices: Improving Retirement Outcomes #1 |
Faegre Drinker |
| Sep 12 2018 |
SEC Updates Disclosure Requirements |
ArentFox Schiff LLP |
| Sep 12 2018 |
Reasons to Include Only Accredited Investors in Your Rule 506(b) Private Offering |
Varnum LLP |
| Sep 11 2018 |
Past is Prologue: A New Approach to Cross-Border Application of Dodd-Frank Swaps Provisions |
Covington & Burling LLP |
| Sep 11 2018 |
The CFTC Is Policing Virtual Currency Boiler Rooms |
McDermott Will & Schulte LLP |
| Sep 10 2018 |
Order Awarding $54 Million to Two SEC Whistleblowers Provides Three Lessons for Whistleblowers |
Zuckerman Law |
| Sep 10 2018 |
SEC Issues More than $54 Million to Two Whistleblowers |
Proskauer Rose LLP |
| Sep 10 2018 |
Bridging the Week by Gary DeWaal: August 27 to September 7 and September 10, 2018 (Quantitative Models; Cross-Border Swaps Guidance; The Meanings of “Or” and “Actual Delivery”) |
Katten |
| Sep 7 2018 |
In re Tomahawk and the Securities Law Implications for Airdropped Tokens |
Squire Patton Boggs (US) LLP |
| Sep 6 2018 |
Final Chapter for the DOL Fiduciary Rule |
Womble Bond Dickinson (US) LLP |
| Sep 4 2018 |
SEC Updates and Simplifies Certain Disclosure Requirements |
Polsinelli PC |
| Aug 31 2018 |
Statement on Status of the Consolidated Audit Trail |
Katten |
| Aug 31 2018 |
SEC Requires Addition of Two New Events to Continuing Disclosure Undertakings Beginning February 27, 2019 |
Ballard Spahr LLP |
| Aug 31 2018 |
CFTC Releases No-Action Position on PCAOB Requirement to Communicate Critical Audit Matters |
Katten |
| Aug 30 2018 |
SEC Adds Two New Events to Rule 15c2-12: Could Have Far-Reaching Impact on Issuers and Obligors of Municipal Securities |
Foley & Lardner LLP |
| Aug 29 2018 |
SEC Consumer Advocates Launch Misguided Preemptive Attack on Arbitration Clauses |
Ballard Spahr LLP |
| Aug 29 2018 |
IRS Releases Preliminary Guidance on Certain Aspects of the Amended Section 162(m) Provisions |
Proskauer Rose LLP |
| Aug 28 2018 |
Consumer Advocates Launch Misguided Preemptive Attack on Arbitration Clauses in Corporate Governance Documents |
Ballard Spahr LLP |
| Aug 28 2018 |
Airdrop of Crypto Tokens Hits Regulatory Flak |
Sheppard, Mullin, Richter & Hampton LLP |
