| Jan 6 2017 |
California Federal Court Holds that U.S. Securities Laws Apply to Sponsored, Unlisted ADRs |
Proskauer Rose LLP |
| Jan 6 2017 |
President-Elect Trump Nominates Clayton as SEC Chair |
Katten |
| Jan 6 2017 |
The Future of Active Funds Part 1: Will Blockchain Save Actively Managed Mutual Funds? |
K&L Gates LLP |
| Jan 6 2017 |
Hague Securities Convention’s Impact on Secured Transactions Choice-of-Law Rules |
Morgan, Lewis & Bockius LLP |
| Jan 6 2017 |
California Corporate Law: Must A Security Be Written? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jan 6 2017 |
Tenth Circuit Rejects SEC's Use of Administrative Law Judges |
Holland & Hart LLP |
| Jan 5 2017 |
California Corporations Code: Making A List Of Securities And Checking It Twice |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jan 5 2017 |
California Federal Court Permits Whistleblowing Lawyer To Use Privileged Information |
Proskauer Rose LLP |
| Jan 4 2017 |
ESMA updates its Market Abuse Q&A - European Securities and Markets Authority |
Squire Patton Boggs (US) LLP |
| Dec 30 2016 |
Regulation Crowdfunding: A Six-Month Update |
Mintz |
| Dec 30 2016 |
Revised Rule 504: Another Tool in the Toolkit to Raise Capital |
Mintz |
| Dec 29 2016 |
10th Circuit Holds SEC ALJs Are Holding Office Unconstitutionally |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Dec 27 2016 |
Golden Leash Rule, Say-on-Pay, Form 10-K Summaries: Proxy Season Guide to 2017 |
Dinsmore & Shohl LLP |
| Dec 22 2016 |
Size of the Option Pool in an Early Stage Company |
Greenberg Traurig, LLP |
| Dec 22 2016 |
SEC Ends Municipalities Continuing Disclosure Cooperation Action |
Dinsmore & Shohl LLP |
| Dec 22 2016 |
Has SEC Paid Millions In Whistleblower Bounties To “Friends And Family”? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Dec 21 2016 |
Trump Administration: Potential Levers of Regulatory Change Affecting Commodities Markets |
Cadwalader, Wickersham & Taft LLP |
| Dec 19 2016 |
Examining Sanctions for Accountants under SEC Rule of Practice 102(e)(10 |
Vedder Price |
| Dec 19 2016 |
Declinations with Disgorgement: The DOJ's Recent Approach in FCPA Enforcement |
Vedder Price |
| Dec 19 2016 |
SEC Placing Renewed Emphasis on Whistleblower Protections |
Vedder Price |
| Dec 19 2016 |
U.S. Supreme Court Upholds Insider Trading Conviction Based on Tips from Family Member |
Vedder Price |
| Dec 19 2016 |
CFTC Re-Proposes Capital Rules for Swap Dealers |
Katten |
| Dec 19 2016 |
Commodity Futures Trading Commission Finalizes Aggregation Rules, Re-Proposes Position Limits Rule |
Katten |
| Dec 19 2016 |
Broken Order Router; Trading Illicitly for Mom; Manipulation: Reg SHO; Reg MAR - Bridging the Week: December 12 to 16 and December 19, 2016 [VIDEO] |
Katten |
| Dec 19 2016 |
SEC Convenes Fintech Forum |
Greenberg Traurig, LLP |
| Dec 19 2016 |
Highlights of SEC’s 2016 Annual Whistleblower Report |
Proskauer Rose LLP |
| Dec 19 2016 |
SEC Takes Action Because Issuer Did Not Effect Public Offering |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Dec 16 2016 |
SEC Division of Corporation Finance Issues 35 New C&DIs Regarding Foreign Private Issuers, QIBs and Offshore Offerings |
Katten |
| Dec 16 2016 |
SEC Chair Will Continue to Push Agenda, Despite GOP Requests |
Covington & Burling LLP |
| Dec 16 2016 |
SEC Issues Two Large Whistleblower Awards |
Proskauer Rose LLP |
| Dec 15 2016 |
SEC Overturns Administrative Law Judge’s Decision and Finds Adviser Failed to Disclose Material Conflicts of Interest Relating to Revenue Sharing Arrangement |
Vedder Price |
| Dec 15 2016 |
PIMCO Settles Charges of Misleading Investors Regarding ETF Performance |
Vedder Price |
| Dec 14 2016 |
There’s Still Time For Congress To Void SEC’s Resource Extraction Rule |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Dec 13 2016 |
CFIUS Clearance: Beijing E-Town Chipone Technology Co. and Integrated Memory Logic Limited |
Squire Patton Boggs (US) LLP |
| Dec 13 2016 |
CFIUS Upcoming/New Filing: Zhongwang USA LLC/Liu Zhongtian and Aleris Corporation |
Squire Patton Boggs (US) LLP |
