| Oct 20 2016 |
New SEC Guidance on Pay Ratio Disclosure |
Faegre Drinker |
| Oct 19 2016 |
Fund Restructurings: How to Navigate a Conflict-Rich Environment |
Proskauer Rose LLP |
| Oct 18 2016 |
Ceresney Warning: Expect Continued SEC Enforcement Activity Regarding Municipal Securities |
Barnes & Thornburg LLP |
| Oct 18 2016 |
Why State Registration Of Security-Based Swaps Is Non-Existent |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 17 2016 |
SEC Adopts Rules for Reporting Separately Managed Accounts on Form ADV and Revised Recordkeeping Rules |
K&L Gates LLP |
| Oct 17 2016 |
Making Sense of Auditor Independence Issues |
K&L Gates LLP |
| Oct 15 2016 |
ESMA Advice to ECON on the Application of the AIFMD Passport to Non-EU AIFMs and AIFs |
Katten |
| Oct 13 2016 |
SEC Continues Enforcement Push as Outlined in its Announcement of FY 2016 Statistics |
Greenberg Traurig, LLP |
| Oct 13 2016 |
First FCPA Case Against Hedge Fund |
Sheppard, Mullin, Richter & Hampton LLP |
| Oct 12 2016 |
Capital Markets & Public Companies Quarterly: Potential Shift in SEC’s Proxy Access No-Action Policy and Other New Guidance from an Active Q3 |
McDermott Will & Schulte LLP |
| Oct 12 2016 |
SEC Announces Record Number of Investment Adviser Cases for FY 2016 |
Proskauer Rose LLP |
| Oct 12 2016 |
Prohibited Transactions: IRA and RIA Qualified Money: Interesting Angles on the DOL’s Fiduciary Rule #23 |
Faegre Drinker |
| Oct 11 2016 |
In GAMCO v. Vivendi, the Second Circuit Affirms that Value Investors Can Rely on the Fraud-on-the-Market Presumption Unless Specific Facts Establish Non-Reliance |
Mintz |
| Oct 11 2016 |
Securities: "Tandy" Language Goes the Way of the Dodo |
Faegre Drinker |
| Oct 10 2016 |
JOBS Act And Convergence Of Private And Public Sales Under UCC |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 9 2016 |
ESMA Publishes Final Guidance on Inside Information for Commodity Derivatives Under MAR |
Katten |
| Oct 7 2016 |
SEC Finds that Merrill Lynch Violated Rule 21F-17 But Notes Remediation Efforts |
Foley & Lardner LLP |
| Oct 7 2016 |
Size of SEC Whistleblower Awards Continues to Grow |
Foley & Lardner LLP |
| Oct 7 2016 |
SEC Awards $3.5 Million to Whistleblower for Bolstering an Already Existing Ongoing Investigation |
Foley & Lardner LLP |
| Oct 7 2016 |
Three Companies Sanctioned For Violating Whistleblower Protection Provisions as SEC Continues to Crack Down on Language in Severance Agreements |
Foley & Lardner LLP |
| Oct 7 2016 |
SEC Staff No Longer Requires “Tandy” Representations in Filing Reviews |
Katten |
| Oct 7 2016 |
Director of SEC’s Division of Enforcement Touts Whistleblower Program |
Foley & Lardner LLP |
| Oct 7 2016 |
SEC Staff Issues Three No-Action Letters Regarding Proxy Access Proposals |
Katten |
| Oct 7 2016 |
SEC Brings First Stand-Alone Whistleblower Retaliation Enforcement Action |
Foley & Lardner LLP |
| Oct 7 2016 |
Securities Disclaimers: RIP “Tandy Letter” Requests |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 5 2016 |
Canadian Appellate Court Confirms Judges Must Consider Evidence From Both Parties when Deciding Motion for Leave to Bring Class Action |
Mintz |
| Oct 5 2016 |
How This Scotus Became A Byword For Dunce |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 5 2016 |
SEC Orders Company to Pay $500K For Whistleblower Retaliation |
Zuckerman Law |
| Oct 3 2016 |
Bridging the Week: Futures Insider Trading, Artificial Prices, Theft by Convention, Whistleblowing [VIDEO] |
Katten |
| Oct 3 2016 |
Charitable Donations and FCPA Exposure: Lessons Learned from Nu Skin |
Morgan, Lewis & Bockius LLP |
| Oct 3 2016 |
Corporate Loans Can Be Problematic Even When Borrower Isn’t Officer or Director |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Sep 30 2016 |
Vibra Healthcare To Pay $33 Million To Settle Qui Tam Lawsuit That Alleged Healthcare Fraud in Medicare Billing Practices |
Tycko & Zavareei LLP |
| Sep 30 2016 |
SEC Proposes Amendment to Expedite Settling Securities Transactions |
Katten |
| Sep 30 2016 |
SEC Adopts Rules for Enhanced Regulatory Framework for Securities Clearing Agencies |
Katten |
| Sep 30 2016 |
Pay-To-Play Meets The California Labor Code |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
