| Sep 13 2024 |
New Filing Deadlines for Schedule 13G Effective September 30 |
Proskauer Rose LLP |
| Sep 13 2024 |
Medical Device Manufacturer THD Pays $700,000 to Resolve FCA Allegations |
ArentFox Schiff LLP |
| Sep 13 2024 |
SEC Disbands ESG Task Force |
Mintz |
| Sep 13 2024 |
Blockchain+ Bi-Weekly; Highlights of the Last Two Weeks in Web3 Law: September 12, 2024 |
Polsinelli PC |
| Sep 12 2024 |
FCA Marks Principal Firms’ Homework on Apointed Representatives – Must Try Harder |
Squire Patton Boggs (US) LLP |
| Sep 12 2024 |
Millions of Reasons to be a Whistleblower Means Increased Need for Internal Reporting Incentives |
Squire Patton Boggs (US) LLP |
| Sep 12 2024 |
Exploring AI Risks Reported in SEC Filings Can Be Helpful For Many Organizations, Including SMBs |
Jackson Lewis P.C. |
| Sep 12 2024 |
Still More on Whether the SEC Exceeded Its Authority in Adopting Rule 21F-17 |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Sep 12 2024 |
August 2024 ESG Policy Update – Australia |
K&L Gates LLP |
| Sep 12 2024 |
ASIC Releases Some Additional Guidance on Greenwashing |
K&L Gates LLP |
| Sep 11 2024 |
SEC Announces Slew of Enforcement Actions Regarding Whistleblower Protection Rule |
Proskauer Rose LLP |
| Sep 11 2024 |
Checked Swing—SEC Does Not Adopt "Swing Pricing" or a "Hard Close" for Now, but Only Provides Liquidity Guidance and Amendments to Forms N-Port and N-Cen |
K&L Gates LLP |
| Sep 11 2024 |
VC Funds Warehousing Investments: Traps for the Unwary |
Mintz |
| Sep 11 2024 |
SEC Penalizes Seven Companies for Requiring Employees to Waive Rights to Whistleblower Awards |
Kohn, Kohn & Colapinto |
| Sep 11 2024 |
SEC Settles More Rule 21F-17(a) Cases, But Has It Exceeded Its Authority? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Sep 10 2024 |
Gee, Have You Thought About Your 13G? (New Reporting Compliance Deadlines Start at Month-End) |
K&L Gates LLP |
| Sep 10 2024 |
The Founder’s Dilemma: Stoking the Company’s Fire Without Forfeiting the Founder’s Interest in the Business |
Bradley Arant Boult Cummings LLP |
| Sep 10 2024 |
SEC Announces Settlement with Keurig for Statements Regarding the Recyclability of K-Cup Pods |
Bergeson & Campbell, P.C. |
| Sep 10 2024 |
Court Upholds SEC’s Victory in “Shadow Trading” Case |
Proskauer Rose LLP |
| Sep 10 2024 |
More Marketing Missteps |
K&L Gates LLP |
| Sep 9 2024 |
Does The SEC's Jurisdiction Really Extend To Any Person? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Sep 6 2024 |
SEC Enforcement Takes Broad View of Anti-Whistleblower Rule in Latest Action Targeting Investment Advisers and Broker-Dealer |
K&L Gates LLP |
| Sep 6 2024 |
SEC Enforcement Action Underscores Need for MNPI Policies in CLO Trading |
Proskauer Rose LLP |
| Sep 5 2024 |
CFTC’s Uniswap Settlement Sparks Debate on DeFi Regulation |
Katten |
| Sep 5 2024 |
FinCEN Adopts Final Rule: AML Programs for Investment Advisers |
Katten |
| Sep 5 2024 |
SEC Charges Broker-Dealer and Investment Advisers with Impeding Clients from Blowing the Whistle |
Kohn, Kohn & Colapinto |
| Sep 3 2024 |
Selection of Gov. Walz as VP Harris's Running Mate Triggers Federal Pay-to-Play Restrictions on Investment Advisers and Other Financial Industry Professionals |
Katten |
| Sep 3 2024 |
Legal Fee Allocation as a Boon to One Party: SEC Sanctions Investment Adviser’s Compounding Error |
Norris McLaughlin P.A. |
| Sep 3 2024 |
ASIC Seeks to Clarify the Scope of the “Authorised Representative” Exemption |
K&L Gates LLP |
| Sep 3 2024 |
Regulation Round Up August 2024 |
Proskauer Rose LLP |
| Aug 30 2024 |
Reminder for Schedule 13G Filers: Accelerated Reporting Deadlines Take Effect Sept. 30 |
Barnes & Thornburg LLP |
| Aug 29 2024 |
Blockchain+ Bi-Weekly: Week of August 29th |
Polsinelli PC |
| Aug 28 2024 |
SEC Continues its Cybersecurity Focus, Settles with Company over Lax Security Measures |
Sheppard, Mullin, Richter & Hampton LLP |
| Aug 28 2024 |
The MNPI Is Coming From Inside the House |
K&L Gates LLP |
| Aug 27 2024 |
The Effect of Supreme Court Decision in SEC v. Jarkesy on HHS-OIG Powers |
Barnes & Thornburg LLP |
