| Apr 17 2023 |
What Makes An Officer An Officer? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Apr 16 2023 |
SEC’s Proposed Conflicts of Interest Rule May Impede Hedging |
Sheppard, Mullin, Richter & Hampton LLP |
| Apr 16 2023 |
Regulatory Update and Recent SEC Actions |
Blank Rome LLP |
| Apr 16 2023 |
Supreme Court Holds that Constitutional Challenges to Administrative Agencies’ Structure Can Be Brought in District Court |
Proskauer Rose LLP |
| Apr 14 2023 |
Newly Registered Investment Advisors Tread Carefully: SEC Issues Risk Alert |
ArentFox Schiff LLP |
| Apr 14 2023 |
SEC Whistleblower Receives $1.9 Million for Using Expertise to Expose Misconduct |
Kohn, Kohn & Colapinto |
| Apr 14 2023 |
Court’s Ruling Against FTC and SEC May Signal Future Limits on Agency Autonomy: SCOTUS Today |
Epstein Becker & Green, P.C. |
| Apr 14 2023 |
Question of the Week: What is the most significant regulatory change you expect to see this year and why? |
Proskauer Rose LLP |
| Apr 13 2023 |
How Securities Firms Can Comply with OFAC in 2024 and Avoid FINRA Scrutiny |
Oberheiden P.C. |
| Apr 13 2023 |
California May Soon Require Institutional Investors, Securities And Real Estate Brokers, And Others To Report Diversity Status Of Startup Founding Teams |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Apr 12 2023 |
Indiana’s Consumer Data Protection Act Set To Become Law |
Barnes & Thornburg LLP |
| Apr 12 2023 |
What does a ‘volume-threshold step down’ refer to in the modern state privacy statutes? |
Greenberg Traurig, LLP |
| Apr 12 2023 |
SEC Whistleblower Awarded $1 Million |
Kohn, Kohn & Colapinto |
| Apr 12 2023 |
People’s Republic of China: Overseas Listing via Vie Structure Becoming Subject to CSRC Filings |
K&L Gates LLP |
| Apr 12 2023 |
Preparing for the New SEC Electronic Filing Requirements for Form 144 – What Public Companies and Their Affiliates Need to Do to Be Prepared |
Cadwalader, Wickersham & Taft LLP |
| Apr 10 2023 |
Central Bank of Ireland Issues Important Clarification Regarding Investments in Digital Assets Including Certain Cryptocurrencies |
K&L Gates LLP |
| Apr 10 2023 |
Prioritizing The G In ESG: Governance Practices Companies Can Implement To Improve ESG Performance |
Barnes & Thornburg LLP |
| Apr 6 2023 |
SEBI Proposes to Strengthen Corporate Governance of Listed Entities |
Nishith Desai Associates |
| Apr 5 2023 |
In Continuation of Longstanding Focus on Cybersecurity, SEC Proposes Significant Amendments to Regulation S-P |
Proskauer Rose LLP |
| Apr 5 2023 |
Second Circuit Confirms that Item 303 Disclosure Violations May Support Section 10(b) Liability in Reviving Claims Based on Failure to Disclose Risks from Harmful-Emission Regulation |
Cadwalader, Wickersham & Taft LLP |
| Apr 5 2023 |
What is in Your Derivatives? |
Squire Patton Boggs (US) LLP |
| Apr 5 2023 |
SEC Revisits Regulation S-P After Twenty Years of Innovation to Information Technology |
Proskauer Rose LLP |
| Apr 4 2023 |
When James Met Gary, Howey, and Hinman: New York AG Takes Aim at KuCoin (but hits Ethereum) in Latest Crypto Crackdown |
Nelson Mullins |
| Apr 4 2023 |
People’s Republic of China: CSRC Intends to Expand Business Scope for Futures Companies |
K&L Gates LLP |
| Apr 4 2023 |
Court Finds FAC Adequately Pled DAO Was A Partnership Under California Law |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Apr 3 2023 |
When the “Back Door” is Closed: Muni Bond Underwriter Sanctioned |
Norris McLaughlin P.A. |
| Apr 1 2023 |
DOJ Unveils New Policy for Companies to Voluntarily Self-Disclose Misconduct |
Ogletree, Deakins, Nash, Smoak & Stewart, P.C. |
| Apr 1 2023 |
Coinbase Gets a Wells Notice from the SEC |
Kohn, Kohn & Colapinto |
| Mar 31 2023 |
SEC Whistleblowers Receive $12 Million for Blowing Whistle on Registered Broker-Dealer |
Kohn, Kohn & Colapinto |
| Mar 30 2023 |
Staff Provides Legend Alternative for Non-transparent ETFS Short on Ad Space |
K&L Gates LLP |
| Mar 30 2023 |
SEBI Approves Five AIF Reforms |
Nishith Desai Associates |
| Mar 30 2023 |
UNITED STATES: Goodbye M&A Brokers No Action Letter, Hello Federal Exemption |
K&L Gates LLP |
| Mar 30 2023 |
SEC Proposes Custody Rule Overhaul with Broad Implications for Investment Advisers, Custodians, and Independent Public Accounting Firms |
K&L Gates LLP |
| Mar 29 2023 |
SEBI Modifies FPI Master Circular: Onboarding Process Streamlined |
Nishith Desai Associates |
| Mar 29 2023 |
Updating and Improving the UK Asset Management Regime: An FCA Discussion Paper |
Greenberg Traurig, LLP |
