| Feb 21 2017 |
Deal Disclosures Trigger SEC Enforcement Attention |
Holland & Hart LLP |
| Feb 21 2017 |
What Do You Know? California Bill Proposes To Eliminate Scienter |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Feb 17 2017 |
Financial Stability Board Issues Final Recommendations for Addressing Potential Risks Asset Managers Pose to the Global Financial System |
Vedder Price |
| Feb 17 2017 |
OCIE Announces 2017 Exam Priorities |
Vedder Price |
| Feb 17 2017 |
SEC Interpretive Letter Permits Brokers to Charge Commissions on Sales of “Clean Shares” of Mutual Funds |
Vedder Price |
| Feb 16 2017 |
President Trump Signs First Congressional Review Act Disapproval Resolution in 16 Years |
Covington & Burling LLP |
| Feb 15 2017 |
Executive Order on Conflict Minerals? Not Yet |
Squire Patton Boggs (US) LLP |
| Feb 15 2017 |
Retirement Advice and the SEC: Interesting Angles on the DOL’s Fiduciary Rule #36 |
Faegre Drinker |
| Feb 15 2017 |
Delaware Court of Chancery Dismisses Derivative Action Against Board of Directors of UPS for Failure to Monitor |
K&L Gates LLP |
| Feb 14 2017 |
Jumpstart Our Business Startups Act: Let’s Finally Fix Crowdfunding! |
Sheppard, Mullin, Richter & Hampton LLP |
| Feb 14 2017 |
Supreme Court Agrees to Determine Whether SEC Actions Seeking Disgorgement are Subject to Five-Year Limitations Period Set Forth in 28 U.S.C. § 2462 |
Greenberg Traurig, LLP |
| Feb 13 2017 |
OCIE and FINRA Announce 2017 Examination and Regulatory Priorities |
K&L Gates LLP |
| Feb 13 2017 |
Dodd-Frank Review—SEC Hits the Brakes on the CEO Pay Ratio Rule |
Morgan, Lewis & Bockius LLP |
| Feb 10 2017 |
Acting SEC Chair Directs Staff to Reconsider Pay Ratio Disclosure Rule |
Katten |
| Feb 9 2017 |
Securities and Exchange Commission Considers Changes to CEO Pay Ratio Rule |
Mintz |
| Feb 9 2017 |
Australian Securities and Investment Commission’s: Found out That you Can't Play in Sandbox? |
K&L Gates LLP |
| Feb 8 2017 |
Dodd-Frank Rollback Begins – Congress Overturns SEC’s Resource Extraction Issuer Payment Disclosure Rule |
Hunton Andrews Kurth |
| Feb 8 2017 |
Magistrate Judge Rules SEC’s Attorney-Conduct Rules Preempt State Law |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Feb 7 2017 |
SEC Enforcement Focused on Non-GAAP “Prominence” Requirement |
Hunton Andrews Kurth |
| Feb 7 2017 |
SEC Targets Severance Agreements That Impede Whistleblowers |
Holland & Hart LLP |
| Feb 7 2017 |
Say on Pay Frequency Revisited for 2017 |
Faegre Drinker |
| Feb 7 2017 |
SEC Considers Changes to CEO Pay Ratio Rules |
Mintz |
| Feb 7 2017 |
Ninth Circuit Accords Chevron Deference To SEC, What Would Judge Gorsuch Say? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Feb 5 2017 |
SEC Targeting Investment Adviser Fraud |
Zuckerman Law |
| Feb 3 2017 |
A Generally Accepted Accounting Principles Happy Month in SEC Enforcement |
Faegre Drinker |
| Feb 3 2017 |
Yahoo! Gives Snapshot of Privacy Law for 2017 |
Hunton Andrews Kurth |
| Feb 2 2017 |
Federal Court of Australia Approves a Common Fund Class Action Model for the First Time – No Opt-In Required |
Mintz |
| Feb 2 2017 |
Chairman Piwowar’s Statement on SECs Conflict Minerals Rule – We Could Have Seen It Coming |
Squire Patton Boggs (US) LLP |
| Feb 1 2017 |
Compliance Personnel, Auditors, Officers and Directors Can Obtain SEC Whistleblower Awards- Chapter 9 |
Zuckerman Law |
| Jan 31 2017 |
Reminder: Australian Securities and Investments Commission Fee and Cost Disclosure - RG 97 Extension |
K&L Gates LLP |
| Jan 31 2017 |
Will Congress Deep Six SEC’s Resource Extraction Rule? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jan 30 2017 |
Crowdfunding Report—FINRA’s First Enforcement Action and Updated Data Analysis |
Faegre Drinker |
| Jan 30 2017 |
2017 Increase in Hart Scott Rodino Notification Thresholds |
Bracewell LLP |
| Jan 29 2017 |
SEC Releases 16 New FAQs on Form PF |
Proskauer Rose LLP |
| Jan 26 2017 |
Capital Markets & Public Companies Quarterly: 2016 Goes Out with a Bang |
McDermott Will & Schulte LLP |
