| Oct 12 2022 |
CFTC Brings Enforcement Action against Digital Exchange and Natural Person Controller Suggesting Native Cryptoasset is a Commodity and Not a Security |
Katten |
| Oct 12 2022 |
ICE Clear EU To Accept EUAs as Collateral |
Katten |
| Oct 11 2022 |
SEC Steps Up Enforcement With Respect to Municipal Bond Offerings |
ArentFox Schiff LLP |
| Oct 11 2022 |
European Commission presents report to the European Parliament and Council on the functioning of the EU Securitisation Regulation |
Cadwalader, Wickersham & Taft LLP |
| Oct 10 2022 |
SEC Reopens Comment Period on Proposed Data Breach Disclosure and Cybersecurity Governance Rules |
Squire Patton Boggs (US) LLP |
| Oct 10 2022 |
“Promise Them Anything, But Give Them” – NOTHING, SEC Sanctions Adviser to Private Funds |
Norris McLaughlin P.A. |
| Oct 6 2022 |
The SEC Kept up With a Kardashian |
K&L Gates LLP |
| Oct 6 2022 |
Get Ready! New SEC Disclosure Rules are Coming |
Dinsmore & Shohl LLP |
| Oct 6 2022 |
“Fair Value” and “Fair Value to the Obligor”: The Mysteries of TIA Section 314(d) Under the Utility Mortgage Bond Indenture |
Bracewell LLP |
| Oct 5 2022 |
Venture Capital Firms Sitting on Billions in Dry Powder: Will This Lead to a Wave of Investment? |
Foley & Lardner LLP |
| Oct 5 2022 |
With $1.1 Billion Penalty Deal, SEC Joins DOJ in Firing Warning Shot at Financial Services Industry About Outdated Employee Communications Policies |
Robinson & Cole LLP |
| Oct 5 2022 |
CFIUS Clearance: SK ecoplant Co. Ltd. and Bloom Energy Corporation |
Squire Patton Boggs (US) LLP |
| Oct 4 2022 |
Kim Kardashian Ordered to Pay Over $1.26 Million for Securities Violation Arising Out of Crypto Endorsement |
Hunton Andrews Kurth |
| Oct 4 2022 |
CFTC Head Urges Congressional Action on Crypto while SEC Leader Says Crypto Rulemaking is “Years Away” |
Proskauer Rose LLP |
| Oct 4 2022 |
US Executive Branch Update – October 3, 2022 |
Squire Patton Boggs (US) LLP |
| Oct 4 2022 |
Keeping Up With Kim Kardashian’s Crypto – SEC Fines Kardashian $1.26 Million For Undisclosed Crypto Promotion |
Mintz |
| Oct 3 2022 |
SEC Alleges Fraud and Deceptive Practices in Case Against City of Rochester, New York |
Dinsmore & Shohl LLP |
| Oct 3 2022 |
Independence Days: SEC Acting Chief Accountant Guides on PE Investment and Consultant Divestiture |
Norris McLaughlin P.A. |
| Oct 3 2022 |
FINRA Facts and Trends: September 2022 |
Bracewell LLP |
| Sep 30 2022 |
DAOs in CFTC’s Enforcement Crosshairs |
Cadwalader, Wickersham & Taft LLP |
| Sep 30 2022 |
The “Iron Curtain” has Fallen: A Radical Shift in Lawyers Representing Whistleblowers |
Kohn, Kohn & Colapinto |
| Sep 28 2022 |
SEC Enforcement Action Demonstrates Importance of Robust Conflicts-of-Interest Practices in SPAC Transactions |
Robinson & Cole LLP |
| Sep 27 2022 |
SEC Charges Public Company Executives with Insider Trading Despite Trading Through Purported Rule 10b5-1 Trading Plans |
Winstead |
| Sep 27 2022 |
The SEC Signals it is Ready to Enforce the New Marketing Rules |
Foley & Lardner LLP |
| Sep 26 2022 |
SEC Adopts Pay Versus Performance Compensation Disclosure Requirements |
Mintz |
| Sep 26 2022 |
SEC and CFTC Propose Amendments to Form PF for Private Fund Reporting |
Vedder Price |
| Sep 25 2022 |
US Department of Labor Investigation, Litigation Result in Settlement Requiring Interarch Inc. Fiduciaries to Pay More Than $2M |
U.S. Department of Labor |
| Sep 23 2022 |
White House Fact Sheet: Comprehensive Framework for Responsible Development of Digital Assets |
Cadwalader, Wickersham & Taft LLP |
| Sep 23 2022 |
NAV Facilities – The Swiss Army Knife of the Fund Finance Market |
Cadwalader, Wickersham & Taft LLP |
| Sep 23 2022 |
What's Misleading About "Leading"? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Sep 23 2022 |
Bulletin Describes SEC Staff’s Expectations Regarding Investment Advisers’ and BrokerDealers’ Conflicts of Interest |
Vedder Price |
| Sep 23 2022 |
Republican SEC Commissioner Peirce Questions Proposed SEC Rule Concerning ESG "Greenwashing" |
Mintz |
| Sep 23 2022 |
PCAOB Signs Statement of Protocol on Inspections and Investigations of Chinaand Hong Kong-Based Audit Firms |
Vedder Price |
| Sep 23 2022 |
CFTC Amends Clearing Requirement for Interest Rate Swaps |
Vedder Price |
| Sep 23 2022 |
District Court Issues Order Granting Great-West’s Motion for Sanctions |
Vedder Price |
