| Jul 24 2017 |
Can I Submit A Tip to the SEC Whistleblower Office if I Agreed to a Confidentiality Provision in an Employment/Severance Agreement?- Chapter 8 |
Zuckerman Law |
| Jul 21 2017 |
SEC to Announce Largest SEC Whistleblower Award to Date |
Zuckerman Law |
| Jul 21 2017 |
SEC Chairman Clayton Makes First Public Speech Outlining His Vision for the Commission |
Katten |
| Jul 21 2017 |
Shares of Foreign Subsidiaries |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jul 20 2017 |
Delaware Court of Chancery Holds Stockholder not Bound by Stock Transfer Restrictions not Noted on Stock Certificates |
K&L Gates LLP |
| Jul 20 2017 |
Case Of Wholly Owned, But Not Totally Held, Subsidiary That May Or May Not Be 100% Owned |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jul 19 2017 |
Chairman Clayton Outlines His “Guiding Principles” for SEC |
Vedder Price |
| Jul 17 2017 |
Can I submit a tip to the SEC Whistleblower Office if I was involved in the fraud or misconduct?- Chapter 7 |
Zuckerman Law |
| Jul 17 2017 |
Who Is An Eligible SEC Whistleblower?- Chapter 6 |
Zuckerman Law |
| Jul 17 2017 |
ESMA Updates AIFMD and UCITS Q&As |
Katten |
| Jul 15 2017 |
ESMA Consults on Guidelines on MiFID II Suitability Requirements |
Katten |
| Jul 14 2017 |
ESMA Invites European Commission To Strengthen EU Third-country Equivalence Regime For Key Market Players In Light of Brexit |
Katten |
| Jul 14 2017 |
ESMA Publishes Opinions To Support Supervisory Convergence Post-Brexit |
Katten |
| Jul 14 2017 |
CFTC Announces Review of Swaps Reporting Regulations |
Katten |
| Jul 14 2017 |
SEC’s Recent Order Approving FINRA Rule Change Relating To Qualification and Registration Requirements |
Katten |
| Jul 14 2017 |
MSRB Pay-to-Play Challenge Stymied by Sixth Circuit over Standing |
Covington & Burling LLP |
| Jul 14 2017 |
California Finders Exemption Regulations Are Now Effective |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jul 13 2017 |
Capital Markets & Public Companies Quarterly: The Kokesh Decision’s Impact on SEC Enforcement |
McDermott Will & Schulte LLP |
| Jul 13 2017 |
Shkreli Trial Reveals the Challenges Faced by Compliance Whistleblowers |
Zuckerman Law |
| Jul 13 2017 |
Upcoming/New CFIUS Filing: Ultra Electronics Holdings and Sparton Corporation |
Squire Patton Boggs (US) LLP |
| Jul 13 2017 |
AIM Consultation from London Stock Exchange |
Squire Patton Boggs (US) LLP |
| Jul 12 2017 |
U.S. Futures Exchanges Disciplinary Actions Report - June 2017 |
Bracewell LLP |
| Jul 11 2017 |
Facilitating Capital Formation: SEC Expands Access to Confidential Submission Process for Registration Statements |
Faegre Drinker |
| Jul 11 2017 |
Second Circuit Rejects First Circuit’s “Extreme Departure” Test for Assessing Materiality of an Alleged Omission of Interim Financial Information From Registration Statement |
Sheppard, Mullin, Richter & Hampton LLP |
| Jul 11 2017 |
California’s Regulation A Notice Filing Requirement |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jul 10 2017 |
SEC Expands Use of Confidential Submissions of Draft Registration Statements |
Foley & Lardner LLP |
| Jul 10 2017 |
Investment Companies And Intrastate Offerings |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jul 8 2017 |
Raising Capital from Individual Investors Using Regulation A+ |
Varnum LLP |
| Jul 7 2017 |
Second Circuit Requires Increased Scrutiny of Securities Class Actions Involving Off-Exchange Transactions |
Proskauer Rose LLP |
| Jul 6 2017 |
California Lags Behind SEC In Permitting Testing Of Waters In Regulation Offerings |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jul 5 2017 |
SCOTUS to Resolve Circuit Split Over Dodd-Frank Whistleblowers |
Greenberg Traurig, LLP |
| Jul 4 2017 |
SFO appears safe for now after proposed merger with the National Crime Agency omitted from Queen’s Speech |
Squire Patton Boggs (US) LLP |
| Jul 4 2017 |
SEC Takes Aim at Broker-Dealers for Anti-Money Laundering Violations |
Zuckerman Law |
| Jun 30 2017 |
What Violations Qualify For A SEC Whistleblower Award?: Chapter 4 |
Zuckerman Law |
| Jun 29 2017 |
Costs of Conflict Minerals Compliance (1 of 3) – Why lower than expected? |
Squire Patton Boggs (US) LLP |
