| Nov 7 2022 |
United States: SEC Adopts Expanded Proxy Voting Reporting by Registered Funds and New Reporting of Executive Compensation Votes by Form 13F Filers |
K&L Gates LLP |
| Nov 7 2022 |
SEC Adopts New Marketing Rule for Investment Advisors |
ArentFox Schiff LLP |
| Nov 7 2022 |
United States: SEC Proposes Changes to Open-End Fund Liquidity Framework |
K&L Gates LLP |
| Nov 7 2022 |
Not Ship Shape: SEC Sues Retired Chief Petty Officer for Fraudulent Offerings to Navy-Related Victims |
Norris McLaughlin P.A. |
| Nov 7 2022 |
Could A "Red Wave" Wipe Out The SEC's Clawback Rules? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Nov 6 2022 |
Former CEOs of MoviePass and Parent Company Charged in Securities Fraud Scheme |
The U.S. Department of Justice |
| Nov 4 2022 |
SEC Adopts Long-Awaited Clawback Rules |
Womble Bond Dickinson (US) LLP |
| Nov 4 2022 |
SEC Awards $3.2 Million to Whistleblowers, Issues a Series of Award Denials |
Kohn, Kohn & Colapinto |
| Nov 4 2022 |
CFTC and SEC Issue Guidance on Security-Based Swaps and Fraud in OTC Swap Disclosures |
Cadwalader, Wickersham & Taft LLP |
| Nov 4 2022 |
California Privacy Protection Agency Holds Board Meeting on CCPA/CPRA Modified Proposed Regulations |
Hunton Andrews Kurth |
| Nov 4 2022 |
Another Seven Year Wait is Over! SEC Finalizes Regulations on Clawback of Incentive Compensation for Restated Financial Statements |
Sheppard, Mullin, Richter & Hampton LLP |
| Nov 4 2022 |
SEC Proposes New Oversight Requirements for Certain Services Outsourced by Investment Advisors |
ArentFox Schiff LLP |
| Nov 4 2022 |
Compliance Date Approaching For New Marketing Rule For Investment Advisers |
Barnes & Thornburg LLP |
| Nov 3 2022 |
SEC Awards $2.5 Million to Whistleblowers Who Reported Fraudulent Practices |
Kohn, Kohn & Colapinto |
| Nov 3 2022 |
RIAs Beware: The Pitfalls When Going Straight To The (Out)Source |
Mintz |
| Nov 3 2022 |
Has The SEC Conflated Indemnification And Insurance? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Nov 2 2022 |
Long Time Coming: SEC Adopts Final Dodd-Frank Clawback Rules |
Proskauer Rose LLP |
| Nov 2 2022 |
Crypto Showdown: SEC’s Lawsuit Against Ripple Labs Reaches Critical Juncture |
Greenberg Traurig, LLP |
| Nov 2 2022 |
FTX Delisting Highlights Howey Risks |
Dinsmore & Shohl LLP |
| Nov 2 2022 |
SEC Adopts Amendments Requiring Electronic Filing of Forms 144 |
Mintz |
| Nov 2 2022 |
The SEC's Immensely Impracticable Impracticability Exception |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Nov 2 2022 |
NFT Insider Trading Charge Doesn’t Require the NFT To Be a Security |
Sheppard, Mullin, Richter & Hampton LLP |
| Nov 2 2022 |
The Role of Economic Analysis in UK Shareholder Actions |
Cornerstone Research |
| Nov 1 2022 |
CFTC Whistleblower Program’s Annual Report Details Record Year |
Kohn, Kohn & Colapinto |
| Nov 1 2022 |
The SEC's Tenuous, Tentative Case For Preemption |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 31 2022 |
SEC Awards Whistleblower $10 Million After Returning Money to Harmed Investors |
Kohn, Kohn & Colapinto |
| Oct 31 2022 |
FINRA Facts and Trends: October 2022 |
Bracewell LLP |
| Oct 31 2022 |
The IRS Expands Crypto Guidance to Include “NFTs” and other “Digital Assets,” Ahead of the 2022 Filing Season |
Polsinelli PC |
| Oct 31 2022 |
Father Sometimes Knows Best: District Court Blasts SEC’s “No Admit, No Deny” Provisions |
Proskauer Rose LLP |
| Oct 31 2022 |
United States: SEC Proposes New Requirements for Adviser Oversight of Service Providers |
K&L Gates LLP |
| Oct 31 2022 |
SEC Adopts Final Rules Mandating Compensation Clawback Policies |
Foley & Lardner LLP |
| Oct 31 2022 |
The SEC's Failure To Update May Defenestrate Claw-Back Rule Making |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 28 2022 |
US Executive Branch Update – October 28, 2022 |
Squire Patton Boggs (US) LLP |
| Oct 28 2022 |
Downstream Investments – A Regulatory Conundrum |
Nishith Desai Associates |
| Oct 28 2022 |
2022 NFT Litigation Roundup |
Foley & Lardner LLP |
