| Jul 27 2018 |
Rule 701 Additional Disclosure Threshold Raised to $10M; SEC Solicits Comments to Modernize Compensatory-Related Offerings Under Rule 701 and Form S-8 |
Womble Bond Dickinson (US) LLP |
| Jul 27 2018 |
NFA Proposes Enhanced Disclosure Requirements for Members Engaging in Virtual Currency Activities |
Faegre Drinker |
| Jul 26 2018 |
Bitcoin Boom: Are Cryptocurrencies Securities Subject to Regulation by the SEC? |
IMS Legal Strategies |
| Jul 25 2018 |
One Year After the "DAO" Report Three U.S. Courts Begin to Provide Crypto-Clarity |
K&L Gates LLP |
| Jul 23 2018 |
Adviser Settles SEC Administrative Proceeding Regarding Conflicts of Interest Disclosure |
Vedder Price |
| Jul 23 2018 |
SEC Adopts Amendments Requiring Inline XBRL Reporting for Fund Risk/Return Summary Information |
Vedder Price |
| Jul 23 2018 |
SEC Adopts Targeted Changes to Fund Liquidity Disclosure Requirements |
Vedder Price |
| Jul 23 2018 |
SEC Proposes New Rule to Permit Certain ETFs to Operate Without an Exemptive Order |
Vedder Price |
| Jul 23 2018 |
Bridging the Weeks by Gary DeWaal: Attempted Manipulation; Curious About Digital Assets; Whistleblowing; SARs; Obstruction |
Katten |
| Jul 23 2018 |
OCIE Issues Risk Alert on Issues Related to Best Execution by Investment Advisers |
Faegre Drinker |
| Jul 21 2018 |
SEC Approves Amendment to Rule 701 and Issues a Concept Release Regarding Form S-8 and Rule 701 |
Katten |
| Jul 20 2018 |
SEC Amends the Definition of “Smaller Reporting Company” |
Katten |
| Jul 20 2018 |
SEC Adopts New Form ATS-N and Amendments to Regulation ATS and Exchange Act Rule 3a1-1 to Enhance Transparency and Oversight of Alternative Trading Systems |
Katten |
| Jul 19 2018 |
In SEC v. Cohen, Court Continues Trend of Limiting SEC Enforcement Powers |
Covington & Burling LLP |
| Jul 18 2018 |
Is my Advisor a “Finder” or a “Broker”? Avoiding the Pitfalls of Raising Capital Using Unlicensed Broker-Dealers |
Foley & Lardner LLP |
| Jul 17 2018 |
Recent CFTC Whistleblower Awards Signal Flexibility in Determining Award Percentage |
Zuckerman Law |
| Jul 16 2018 |
Regulation Best Interest: Consideration of Cost and Compensation- Interesting Angles on the DOL’s Fiduciary Rule #98 |
Faegre Drinker |
| Jul 16 2018 |
Hiring of Administrative Law Judges to Change |
Covington & Burling LLP |
| Jul 13 2018 |
New York Court of Appeals Rules that Civil Securities Fraud Claims Brought Under Martin Act are Subject to Three-Year Statute of Limitations |
Sheppard, Mullin, Richter & Hampton LLP |
| Jul 13 2018 |
Chancery Court Clarifies “Constituent Corporation” |
K&L Gates LLP |
| Jul 13 2018 |
CFTC Issues $30 Million Whistleblower Award |
Proskauer Rose LLP |
| Jul 12 2018 |
New SEC Thresholds in Definition of Smaller Reporting Company Effective September 10 |
Ballard Spahr LLP |
| Jul 12 2018 |
New IRS Audit Rules for Partnerships and Suggested Amendments to Partnership/Operating Agreements |
Dinsmore & Shohl LLP |
| Jul 12 2018 |
SEC Expands the Definition of “Smaller Reporting Company” |
Sheppard, Mullin, Richter & Hampton LLP |
| Jul 11 2018 |
Capital Markets & Public Companies Quarterly: Expanding Relief under Smaller Reporting Company, Reg A+ and Rule 701, SEC Enforcement of Cybersecurity Disclosures and Other News |
McDermott Will & Schulte LLP |
| Jul 10 2018 |
Regulation Best Interest Recommendations by Broker-Dealers: Part 3 - Interesting Angles on the DOL’s Fiduciary Rule #97 |
Faegre Drinker |
| Jul 10 2018 |
Third Circuit Affirms Dismissal of SOX Whistleblower Suit |
Proskauer Rose LLP |
| Jul 9 2018 |
SEC Approves Rule Amendments That Expand the Number of Public Companies That Qualify for Smaller Reporting Company Scaled Disclosures |
McDermott Will & Schulte LLP |
| Jul 9 2018 |
SEC’s Amended Definition of “Smaller Reporting Company” Means More Companies Qualify for Scaled Disclosure Requirements |
ArentFox Schiff LLP |
| Jul 9 2018 |
Supreme Court Decides Lucia – But the Saga Continues |
Barnes & Thornburg LLP |
| Jul 5 2018 |
California Federal Court Grants Motion to Compel Arbitration of Dodd-Frank Whistleblower Claim |
Proskauer Rose LLP |
| Jul 5 2018 |
Rule 701 Registration Exemption Eased for Private Issuers, But Beware |
Hunton Andrews Kurth |
| Jul 3 2018 |
If I Report My Company’s Inflated Key Performance Metrics, Can I Qualify for an SEC Whistleblower Reward? |
Zuckerman Law |
| Jul 3 2018 |
SEC Director Makes Groundbreaking Speech about Blockchain Token Sales |
McDermott Will & Schulte LLP |
| Jul 3 2018 |
So What Are The Odds? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
