| Nov 4 2016 |
SEC Adopts Amendments to Rules 147 and 504, Adopts Rule 147A and Repeals Rule 505 |
Katten |
| Nov 4 2016 |
Enforcement at the Gates: SEC Action against Big Four Firm and New International Standards Highlight the Role of Accountants as Financial Gatekeepers |
Cadwalader, Wickersham & Taft LLP |
| Nov 4 2016 |
Public Finance Reminder: Change in Credit Rating Material Event Notices |
Dinsmore & Shohl LLP |
| Nov 3 2016 |
SEC Issues Investment Company Reporting Modernization Rules |
K&L Gates LLP |
| Nov 3 2016 |
Corporate Governance: When CEOs Read This, They May Become Less Enamored Of Delaware |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Nov 2 2016 |
OCIE Staff to Examine Registered Advisers' Policies and Agreements for Whistleblower Rule Compliance |
Proskauer Rose LLP |
| Nov 1 2016 |
SEC Proposes Amendments to Require Use of Universal Proxy Cards |
Faegre Drinker |
| Oct 31 2016 |
Bridging the Week: October 24 to 28 and October 31, 2016 (Tipper and Tippees; Block Pre-Hedging; Regulation AT Amendments; FINRA, SEC Sweep) |
Katten |
| Oct 31 2016 |
Westawski v. Merck & Co: Third Circuit Limits Protected Activity Under Sarbanes Oxley |
Proskauer Rose LLP |
| Oct 31 2016 |
Five Propositions Concerning SEC Whistleblower Program |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 31 2016 |
ESMA Publishes MAR Guidelines for EU-Listed Issuers on Delaying Disclosure of Inside Information |
Katten |
| Oct 29 2016 |
ESMA Publishes MAR Guidelines on Receiving Market Soundings |
Katten |
| Oct 28 2016 |
SEC Chair Discusses Treasury Market Reform |
Katten |
| Oct 28 2016 |
SEC Approves Amendments to Rules Governing Communications With the Public |
Katten |
| Oct 28 2016 |
SEC Division of Corporation Finance Issues C&DIs on Exempt Offerings Under Rule 701 and Sales of Securities Under Rule 144(d) |
Katten |
| Oct 27 2016 |
Australian Securities & Investments Commission Repeal of Class Orders Affecting Foreign Financial Services Providers |
K&L Gates LLP |
| Oct 27 2016 |
Operating Abroad: the International Employer and the FCPA |
Dinsmore & Shohl LLP |
| Oct 27 2016 |
Will New SEC Rule 147A Lead To Renaissance In California Permit Applications? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 27 2016 |
ICI Provides Responses to Frequently Asked Questions Regarding SEC’s Temporary No-Action Relief on Auditor Independence and “Loan Rule” |
Vedder Price |
| Oct 27 2016 |
SEC Proposes Rule Amendment to Shorten Settlement Cycle From Three Business Days to Two |
Vedder Price |
| Oct 27 2016 |
SEC Launches Dedicated FINRA Oversight Unit: Watching the Detectives |
Sheppard, Mullin, Richter & Hampton LLP |
| Oct 26 2016 |
FINRA Submits Proposed Rules to the SEC to Address Financial Exploitation of Seniors |
K&L Gates LLP |
| Oct 26 2016 |
CFTC Expands Interest Rate Swap Clearing Requirements |
K&L Gates LLP |
| Oct 26 2016 |
SEC’s Office of Compliance, Inspection and Examinations By Numbers and Use of Big Data |
Proskauer Rose LLP |
| Oct 25 2016 |
SEC and DOJ Charge Board Member with Trading on Inside Information . . . During a Board Meeting |
Proskauer Rose LLP |
| Oct 25 2016 |
Are International Robo-Advisers Required to Act in Client's Best Interest? |
K&L Gates LLP |
| Oct 25 2016 |
Does Placing Non-GAAP Financial Measures First Violate The Law? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 24 2016 |
When SEC Became Real Estate Regulator |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 22 2016 |
SEC Division of Corporation Finance Issues Five Additional C&DIs Relating to Pay Ratio Disclosure Rule |
Katten |
| Oct 21 2016 |
SEC Approves FINRA’s Capital Acquisition Broker Rules |
Katten |
| Oct 21 2016 |
SEC Approves FINRA’s TRACE Amendments for CMO Transactions |
Katten |
| Oct 21 2016 |
SEC Approves FINRA’s TRACE Amendments for US Treasury Securities |
Katten |
| Oct 21 2016 |
Fantasy Stock Picking Contest Deemed by SEC to be Illegal Security-based Swaps |
Sheppard, Mullin, Richter & Hampton LLP |
| Oct 21 2016 |
DOL Fiduciary Rule Compliance Tips |
Michael Best & Friedrich LLP |
| Oct 21 2016 |
Non-GAAP Update: SEC Continues Its Scrutiny of Financial Measures |
Faegre Drinker |
