| Jun 2 2016 |
Insider-Trading Prosecutions Continue Post-Newman: USAO/SDNY and SEC Press Charges Against Ex-Barclays Director and Plumber |
Faegre Drinker |
| Jun 2 2016 |
SEC Provides Relief From Custody Requirements for Sub-Advisers |
Foley & Lardner LLP |
| Jun 2 2016 |
Does The SEC’s New Form 10-K Rule Create A New Disclosure Standard? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jun 1 2016 |
Application of the Joint Proposed Incentive Compensation Rule to Investment Advisers |
Proskauer Rose LLP |
| Jun 1 2016 |
Eleventh Circuit Rules Disgorgement No Different Than Forfeiture, Barring SEC From Seeking Ill-Gotten Gains Outside Five-Year Limitations Period |
Proskauer Rose LLP |
| Jun 1 2016 |
The Scope Of Stockholder Inspection In California And Delaware |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jun 1 2016 |
IRS Issues Guidance on Money Market Fund Top-Up Contributions |
Faegre Drinker |
| May 31 2016 |
SEC Announces Third-Highest Award Ever to Whistleblower |
Jackson Lewis P.C. |
| May 29 2016 |
European Commission Adopts MiFID II Delegated Regulations |
Katten |
| May 28 2016 |
$3.5 Million Awarded to Whistleblower Who Was Initially Rebuffed by SEC |
Faegre Drinker |
| May 27 2016 |
SEC Releases Target Dates for Proposed and Final Rulemaking |
Katten |
| May 27 2016 |
Wine, Steak, and Massage Parlors Are Personal Benefits for Insider Trading |
Proskauer Rose LLP |
| May 27 2016 |
Senators Warren and Cotton Misled by Misleading Report on Broker Check |
Stark & Stark |
| May 27 2016 |
SEC Approves Rule Requiring Delivery of an Educational Communication to Customers of a Transferring Representative |
Katten |
| May 27 2016 |
Will The Rise Of Tweener Corporations Increase Focus On California’s Annual Report Statute? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| May 26 2016 |
Incentive Stock Options vs. Nonqualified Stock Options – A General Summary |
Greenberg Traurig, LLP |
| May 26 2016 |
Do State Courts Lack Subject Matter Jurisdiction Over Covered Class Actions That Allege Only ’33 Act Claims? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| May 26 2016 |
FINRA Announces Rule 2273, Requiring Broker’s New Firm to Send “Educational Communication” to Broker’s Customers Before Transfer of Customer’s Assets to New Firm |
Greenberg Traurig, LLP |
| May 25 2016 |
Update on EU STS and Risk Retention: Simple, Transparent and Standardised Securitisations |
Cadwalader, Wickersham & Taft LLP |
| May 24 2016 |
Key Takeaways from SEC/DOJ Enforcement Panel |
Proskauer Rose LLP |
| May 24 2016 |
California Federal Court Holds That U.S. Securities Laws Do Not Apply to Unsponsored, Unlisted ADRs |
Proskauer Rose LLP |
| May 24 2016 |
DOJ’s Failure to Charge Phil Mickelson Illustrates Difficulties in Charging Outsider Tippees with Insider Trading |
Cadwalader, Wickersham & Taft LLP |
| May 24 2016 |
SEC Issues Guidance on Crowdfunding Rules |
Hunton Andrews Kurth |
| May 24 2016 |
IRS Offers Tax Guidance Relating to Money Market Fund Rules |
Morgan, Lewis & Bockius LLP |
| May 24 2016 |
SEC Proposes Higher Net Worth Threshold for Qualified Clients Under Advisers Act |
Proskauer Rose LLP |
| May 23 2016 |
SEC Reins in Use of Non-GAAP Financial Measures with New Guidance |
McDermott Will & Schulte LLP |
| May 23 2016 |
The New Section 4(a)(7): More Than a Codification of Section “4(a)(1½)” |
Mintz |
| May 23 2016 |
Surprise! No More Retail Forex for Broker-Dealers |
Morgan, Lewis & Bockius LLP |
| May 23 2016 |
International Issues Take Center Stage; CFPB Soon Expected to Release Rulemaking on Short-Term, Small Dollar Loans as SEC Sets Timeline for Fiduciary Rule |
Squire Patton Boggs (US) LLP |
| May 23 2016 |
Bridging the Week: May 16 - 20 and May 23, 2016 (AML; Compliance Officers; Whistleblowers; Golfer) |
Katten |
| May 22 2016 |
SEC Enforcement’s Increased Focus on Private Equity |
Proskauer Rose LLP |
| May 20 2016 |
SEC Issues New Guidance on the Use of Non-GAAP Financial Measures |
Bracewell LLP |
| May 20 2016 |
SEC Division of Corporation Finance Issues 12 New and Revised C&DIs Regarding Non-GAAP Measures |
Katten |
| May 20 2016 |
Did The SEC Staff Bypass The APA In Issuing New And Revised Non-GAAP Financial Measure C&DIs? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| May 19 2016 |
Investment Company Institute (ICI) Issues Memo Regarding the Adequacy of Fund Policies, Procedures and Disclosures In Light of Unanticipated Events on Securities Trading Venues |
Vedder Price |
