| Oct 28 2022 |
SEC States That Considering Diversity When Recommending Investment Advisers Is Consistent With An Advisor's Fiduciary Duty |
Mintz |
| Oct 27 2022 |
SEC Finalizes Major Changes to Shareholder Report Disclosure Scheme and Investment Company Advertisement Rules |
K&L Gates LLP |
| Oct 27 2022 |
SEC Adopts “Clawback” Listing Standards and Disclosure Rules |
Nelson Mullins |
| Oct 27 2022 |
Tailored Shareholder Reports and Revised Advertisement Fee Disclosure for Registered Investment Companies |
K&L Gates LLP |
| Oct 27 2022 |
SEC Adopts New Executive Compensation Clawback and Disclosure Rule |
Sheppard, Mullin, Richter & Hampton LLP |
| Oct 26 2022 |
UK National Security and Investment Act—Considerations for Sellers of Shares and Assets |
K&L Gates LLP |
| Oct 26 2022 |
Australia: Australian Government Abandons Introduction of Limited Partnership Structure |
K&L Gates LLP |
| Oct 25 2022 |
Review of Recent Whistleblower Developments: October 2022 |
Foley & Lardner LLP |
| Oct 25 2022 |
SEC Awards More than $4.6 Million to Whistleblowers |
Kohn, Kohn & Colapinto |
| Oct 24 2022 |
ESG Ratings: A Call for Greater Transparency and Precision |
Cadwalader, Wickersham & Taft LLP |
| Oct 24 2022 |
FINRA Releases Updated Guidelines and Sanctions for Securities Rule Violations |
Greenberg Traurig, LLP |
| Oct 24 2022 |
SEC Reopens Comment Periods Due to Technical Glitch |
Nelson Mullins |
| Oct 24 2022 |
Equitable Teaching: SEC Fails Variable Annuity Retirement Plans for Educators |
Norris McLaughlin P.A. |
| Oct 24 2022 |
Is The End Of FINRA Drawing Nigh? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 22 2022 |
SEC is Rumored to Be Dropping Scope 3 GHG Emissions Disclosures from Final Climate Disclosure Rule |
Mintz |
| Oct 21 2022 |
What's Up With WhatsApp? Regulators Recently Fine Firms $1.8 Billion in Aggregate for "Off-Channel" Communications |
Katten |
| Oct 21 2022 |
It Gets BIgger: FINRA Joins the SEC In Bringing Reg BI Enforcement Actions |
Mintz |
| Oct 18 2022 |
SEC Charges Kim Kardashian with Violating Anti-Touting Law, Signals to Celebrities that Payments for Endorsements Must Be Disclosed |
Greenberg Traurig, LLP |
| Oct 18 2022 |
When Selling Partnership Interests May Require A Real Estate Broker's License |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 18 2022 |
NYAG Delivers on Promise to Rein In Unregistered Crypto Lending with New Suit |
Sheppard, Mullin, Richter & Hampton LLP |
| Oct 17 2022 |
Every Buck You Lend, Every Text You Send, the SEC’ll Be Watching You |
Nelson Mullins |
| Oct 17 2022 |
Proposed Amendments To Form PF Would Increase The Scope, Detail And Frequency Of Private Fund Reporting Obligations |
Barnes & Thornburg LLP |
| Oct 17 2022 |
Valuing the Risk: FICC Proposes Rule Change to Protect Against Repo Volatility |
Norris McLaughlin P.A. |
| Oct 15 2022 |
Change in Corporate Enforcement Policy, But How Much? |
Nelson Mullins |
| Oct 15 2022 |
The Date for Full Compliance with the SEC’s New Marketing Rule is Rapidly Approaching! Is Your Firm Ready? |
Stark & Stark |
| Oct 14 2022 |
Keeping Up With Kim Kardashian’s SEC Charges |
Proskauer Rose LLP |
| Oct 14 2022 |
SEC Waives TCR Requirement, Awards Over $1 Million to Whistleblowers |
Kohn, Kohn & Colapinto |
| Oct 14 2022 |
Financial Regulators Focus on Preservation of Ephemeral Messaging |
Winstead |
| Oct 14 2022 |
United States: SEC Reopens Comment Period for Eleven Significant Rulemaking Releases |
K&L Gates LLP |
| Oct 14 2022 |
Kardashian Coverage Conundrums |
Hunton Andrews Kurth |
| Oct 13 2022 |
All Your Ether (Are) Belong To US: SEC Claims Jurisdiction Over Entire Ethereum (ETH) Network |
ArentFox Schiff LLP |
| Oct 13 2022 |
Lessons from an Elder Abuse Story with a (Relatively) Happy Ending |
Norris McLaughlin P.A. |
| Oct 13 2022 |
Potential Delay of SEC Climate Disclosures Rule Due to Reopening of Comments Period to Address Technical Issue |
Mintz |
| Oct 12 2022 |
United States: As the Worm Turns: SEC Provides Alternative Recordkeeping Requirements for Brokers |
K&L Gates LLP |
| Oct 12 2022 |
SEC Awards $825,000 to Whistleblower |
Kohn, Kohn & Colapinto |
