| Feb 21 2023 |
SEC Announces Inspection Priorities for 2023 |
Katten |
| Feb 21 2023 |
New Federal “M&A Broker” Exemption From SEC Registration in Certain Securities Transactions |
Nelson Mullins |
| Feb 21 2023 |
The Fourth Crow: SEC Sues Nonexistent Fund and Unidentified Agents |
Norris McLaughlin P.A. |
| Feb 20 2023 |
Australia: ASIC Reveals 2023 Enforcement Priorities |
K&L Gates LLP |
| Feb 17 2023 |
Fund Finance Symposium Panel Recap: Secondaries and Continuations |
Cadwalader, Wickersham & Taft LLP |
| Feb 17 2023 |
SEBI (Buy-Back of Securities) (Amendment) Regulations, 2023 |
Nishith Desai Associates |
| Feb 17 2023 |
United States: SEC Adopts Rules to Reduce Risk in Clearance and Settlement |
K&L Gates LLP |
| Feb 17 2023 |
5 Things Whistleblowers Should Know About Reporting Accounting Fraud to the SEC |
Zuckerman Law |
| Feb 16 2023 |
SEC Examinations in 2023 to Focus on “Riskier Private Funds” and New Marketing Rule |
Proskauer Rose LLP |
| Feb 16 2023 |
Fifth Circuit Provides New Guidance on Evaluating Confidential Witnesses |
Mintz |
| Feb 16 2023 |
To Be or Not To Be a “Non-Rule 10b5-1 Trading Arrangement” – That is the Question! |
Nelson Mullins |
| Feb 16 2023 |
The SEC Division of Examinations Announces 2023 Priorities, Including Key Areas for Registered Investment Advisers, Registered Investment Companies, and Broker-Dealers |
K&L Gates LLP |
| Feb 16 2023 |
Covington's Substantial Investment In Protecting Client Confidences |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Feb 16 2023 |
SEC Announces 2023 Examination Priorities |
Greenberg Traurig, LLP |
| Feb 15 2023 |
Kraken the Whip – Kraken Penalized Over Staking-as-a-Service |
Polsinelli PC |
| Feb 15 2023 |
Record Penalty for Alleged Regulation FD Violations and Best Practices Going Forward |
Katten |
| Feb 15 2023 |
2023 Priorities for SEC Division of Examinations |
ArentFox Schiff LLP |
| Feb 15 2023 |
SEC Pays Whistleblower $3 Million Under Related Action Rule |
Kohn, Kohn & Colapinto |
| Feb 15 2023 |
Congress Enacts M&A Broker But What About George Babbit? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Feb 14 2023 |
SEC Division of Examinations Announces 2023 Examination Priorities |
Bradley Arant Boult Cummings LLP |
| Feb 14 2023 |
Message Received: SEC Zeros in On Off-Channel Communication |
K&L Gates LLP |
| Feb 13 2023 |
“Now Yous Can’t Leave”: SEC Finds Itself in Formidable Fight Over Attempt to Assert Regulatory Domain over Secondary Sales of Digital Assets |
Polsinelli PC |
| Feb 13 2023 |
SEC Releases C&DIs Clarifying Certain ‘Pay vs Performance’ Questions |
Nelson Mullins |
| Feb 13 2023 |
Crypto Platform Kraken Pays $30 Million and Ceases Staking Services to Settle SEC Charges |
K&L Gates LLP |
| Feb 13 2023 |
Defrauding D Orders: SEC Cracks Down on Manipulative Day Trader |
Norris McLaughlin P.A. |
| Feb 10 2023 |
InDepth: CFTC’s Regulatory Priorities for 2023 |
Cadwalader, Wickersham & Taft LLP |
| Feb 10 2023 |
SEC Re-Proposes a Rule Prohibiting Conflicts of Interest in Certain Securitizations |
Cadwalader, Wickersham & Taft LLP |
| Feb 9 2023 |
SEC Imposes Staggering $35 Million Fine on Company for Paying Lip Service to Internal Compliance Procedures |
Epstein Becker & Green, P.C. |
| Feb 9 2023 |
Fraud Claims Against Token Issuer Dismissed Based on Disclosures to Accredited Investor |
Proskauer Rose LLP |
| Feb 9 2023 |
United States: SEC Division of Examinations Announces 2023 Examination Priorities |
K&L Gates LLP |
| Feb 9 2023 |
Was This The Least Transparent Report In SEC History? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Feb 8 2023 |
Scope 3 To Be Or Not To Be? That Is The ESG Question |
Barnes & Thornburg LLP |
| Feb 8 2023 |
Delaware Court of Chancery Holds that Officers of a Delaware Corporation Are Subject to Fiduciary Duty of Oversight |
Sheppard, Mullin, Richter & Hampton LLP |
| Feb 8 2023 |
California Legislators Propose Three Climate Bills Focused on ESG Disclosure and Investment |
Mintz |
| Feb 7 2023 |
SEC Issues New C&DIs Regarding Form 10-K “Clawback” Checkboxes |
Nelson Mullins |
