| Nov 28 2016 |
Outgoing SEC Chair Reflects on the Agency’s Enforcement Program and Advocates for Increased Authority |
Proskauer Rose LLP |
| Nov 28 2016 |
Impact of 2016 US Elections on Dodd-Frank |
Morgan, Lewis & Bockius LLP |
| Nov 28 2016 |
Is SEC’s Universal Proxy Proposal Product Of Agency Capture? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Nov 24 2016 |
The New EU Conflict Minerals Regulation — Is It Something To Be Thankful For? |
Squire Patton Boggs (US) LLP |
| Nov 22 2016 |
SEC Adopts Rules to Modernize the Reporting and Disclosure of Information by Registered Investment Companies |
ArentFox Schiff LLP |
| Nov 22 2016 |
Preparing for 2017 Proxy Season: Recent Developments in Proxy Access and Universal Proxy Cards |
Bracewell LLP |
| Nov 22 2016 |
NY Law Journal Report: Trump And Future Of SEC Whistleblower Program |
Proskauer Rose LLP |
| Nov 21 2016 |
SEC Issues Pay Ratio Disclosure Guidance |
Hunton Andrews Kurth |
| Nov 21 2016 |
SEC Hands Out Millions While Leaving Public In Dark |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Nov 21 2016 |
SEC Releases Guidance on Pay Ratio Rules |
Mintz |
| Nov 18 2016 |
The Securities and Exchange Commission’s Latest Message Case on Investment Adviser Conflict Disclosure |
K&L Gates LLP |
| Nov 18 2016 |
SEC Division of Corporation Finance Issues Revised and Additional C&DIs Relating to Form S-8 |
Katten |
| Nov 18 2016 |
SEC Leaders Discuss Fintech Regulation |
Covington & Burling LLP |
| Nov 18 2016 |
SEC Approves Plan To Create Consolidated Audit Trail |
Katten |
| Nov 16 2016 |
Update On UK and EU Securities Financing Transactions Regulation |
Morgan, Lewis & Bockius LLP |
| Nov 16 2016 |
SEC Shake-Up: President-Elect Trump Expected to Make Key Appointments |
Proskauer Rose LLP |
| Nov 16 2016 |
Trump Administration Should Avoid Gutting SEC’s Remarkably Successful Whistleblower Reward Program |
Zuckerman Law |
| Nov 15 2016 |
SEC Settles Charges Against Adviser for Improper Fair Valuation of Bonds |
Vedder Price |
| Nov 15 2016 |
SEC Requests Comment and Data on the Extension of Proposed Universal Proxy Requirements to Funds |
Vedder Price |
| Nov 15 2016 |
SEC Adopts Rules to Modernize and Enhance Investment Company Reporting |
Vedder Price |
| Nov 14 2016 |
SEC Issues Final Rule On Investment Company Liquidity Risk Management |
ArentFox Schiff LLP |
| Nov 14 2016 |
The Commission’s Latest Message Case on Investment Adviser Conflict Disclosure |
K&L Gates LLP |
| Nov 14 2016 |
Report Underscores Importance of Whistleblower Rewards and Protections for Internal Auditors |
Zuckerman Law |
| Nov 13 2016 |
SEC Adopts New Rules Mandating Open-End Fund Liquidity Risk Management Programs and Permitting Swing Pricing |
Vedder Price |
| Nov 11 2016 |
SEC Issues New C&DI Relating to Submission of Annual Reports to SEC |
Katten |
| Nov 10 2016 |
CFTC Approves Supplemental Proposal to Regulation AT |
Katten |
| Nov 10 2016 |
A New Regulatory Paradigm For The SEC Following the Election? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Nov 9 2016 |
Modernization of SEC’s Reporting Requirements: What Investment Companies Should Know |
Faegre Drinker |
| Nov 8 2016 |
China to Allow Foreign Asset Managers to Operate Local Funds |
K&L Gates LLP |
| Nov 8 2016 |
SEC’s First Risk Alert of Fiscal Year 2017 Targets Registrant Rule 21F-17 Compliance |
Faegre Drinker |
| Nov 8 2016 |
Ninth Circuit Court Dismisses Claims Alleging Yahoo Illegally Acting as Unregistered Investment Company |
Mintz |
| Nov 7 2016 |
SEC Adopts Changes to Regulation D and Intrastate Offerings and Proposes Use of “Universal Proxy Cards” in Contested Director Elections |
Polsinelli PC |
| Nov 7 2016 |
SEC Staff Issues Guidance on Pay Ratio Disclosure Rules |
Foley & Lardner LLP |
| Nov 7 2016 |
Voluntary Non GAAP Disclosures: Why Securities and Exchanges Commission Isn’t Vegas |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Nov 6 2016 |
SEC Advocates Broad Construction of Dodd-Frank Whistleblower Protection Law |
Zuckerman Law |
