| Feb 22 2018 |
Supreme Court Whistleblower Decision Not a Game Changer: SOX Remains a Potent Remedy for Whistleblowers |
Zuckerman Law |
| Feb 22 2018 |
SCOTUS Decides: Dodd-Frank Whistleblower Protections Only Cover Those Who Report to the SEC |
Squire Patton Boggs (US) LLP |
| Feb 21 2018 |
Only Persons Who Report Security Violations to the SEC are Whistleblowers Under Dodd-Frank: Supreme Court Decides Digital Realty Trust Case |
Foley & Lardner LLP |
| Feb 21 2018 |
“It Says What It Says”: Dodd-Frank Whistleblower Protection Requires SEC Reporting, SCOTUS Rules |
Ogletree, Deakins, Nash, Smoak & Stewart, P.C. |
| Feb 21 2018 |
Supreme Court Holds Whistleblower Must First Blow The Whistle To The SEC |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Feb 21 2018 |
SEC Launches Self-Reporting Initiative for Mutual Fund Share Classes |
Morgan, Lewis & Bockius LLP |
| Feb 21 2018 |
SEC Announces Share Class Selection Disclosure Initiative |
Dinsmore & Shohl LLP |
| Feb 20 2018 |
SEC Share Class Selection Disclosure Initiative to Encourage Self-Reporting |
Faegre Drinker |
| Feb 20 2018 |
Between Bridges – February 19, 2018: CFTC Says Futures Brokerage Firm’s Failure to Supervise Led to Unauthorized Cyber Attack; Trader Criminally Charged for Allegedly Misappropriating Employer’s Cryptocurrencies |
Katten |
| Feb 20 2018 |
SEC Staff Announces 2018 OCIE Examination Priorities |
Proskauer Rose LLP |
| Feb 19 2018 |
Investment Services Regulatory Update - February 2018 |
Vedder Price |
| Feb 19 2018 |
Just Who Are A Corporation's "Regular Officers"? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Feb 19 2018 |
Directors Fail To Escape Liability For Approving Dividend |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Feb 19 2018 |
Department Of Business Oversight Continues To Grow |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Feb 19 2018 |
Was This Interim Final Rule More Final Than Interim? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Feb 16 2018 |
Annual Compliance Obligation Reminders |
Vedder Price |
| Feb 16 2018 |
SEC Proposes Budget for Fiscal Year 2019 |
Katten |
| Feb 16 2018 |
SEC Steps on the Gas to Deter Fraudulent ICOs |
Morgan, Lewis & Bockius LLP |
| Feb 16 2018 |
SEC Announces 2018 Compliance Outreach Program Seminar for Investment Advisers and Investment Companies |
Proskauer Rose LLP |
| Feb 16 2018 |
New Tax Law Changes Deductibility of Government Settlement Payments in False Claims Act, SEC, FINRA, and Other Types of Cases |
Foley & Lardner LLP |
| Feb 15 2018 |
Court of Appeals Decision: Managers of Open-Market CLOs Not Subject to Dodd-Frank Risk Retention |
Cadwalader, Wickersham & Taft LLP |
| Feb 15 2018 |
SEC Amendments to Form ADV: What’s New? |
Faegre Drinker |
| Feb 14 2018 |
The Fiduciary Rule: Mistaken Beliefs (#4)- Interesting Angles on the DOL’s Fiduciary Rule #79 |
Faegre Drinker |
| Feb 14 2018 |
Petrobras Court’s Denial of Plaintiffs’ Request for Confidential Treatment of Opt-Out Provisions Could Undermine the Settlement Process |
Mintz |
| Feb 13 2018 |
SEC’s 2018 Exam Priorities Reflect Continued Focus on Cybersecurity |
Squire Patton Boggs (US) LLP |
| Feb 13 2018 |
SEC Approves NYSE Rule to Facilitate Listing Without an IPO |
Katten |
| Feb 13 2018 |
SEC Announces Examination Priorities for 2018 |
Katten |
| Feb 12 2018 |
House Passes Expanding Investment Opportunities Act, Which Would Ease Regulatory Requirements Applicable to Closed-End Fund Offerings |
Vedder Price |
| Feb 12 2018 |
SEC Settles with Mutual Fund Administrator in Connection with Calculation of Inflated Net Asset Value |
Vedder Price |
| Feb 12 2018 |
OCIE Announces 2018 Exam Priorities |
Vedder Price |
| Feb 12 2018 |
SEC Staff Issues Liquidity Risk Management Program FAQs |
Vedder Price |
| Feb 12 2018 |
SEC Staff Issues Guidance on Cryptocurrency-related Holdings |
Vedder Price |
| Feb 12 2018 |
Bridging the Week: February 5 to 9, and February 12, 2018 (New Crypto Regulator?; Spoofing Appealed Again; Examination Priorities) [VIDEO] |
Katten |
| Feb 12 2018 |
The Top Ten Regulatory and Litigation Risks for Private Funds in 2018 |
Proskauer Rose LLP |
| Feb 9 2018 |
Impact of Recent Tax Legislation on M&A Transactions |
Proskauer Rose LLP |
