| Nov 16 2022 |
Australia: ASIC Stays True to DDO Enforcement Promises |
K&L Gates LLP |
| Nov 16 2022 |
United States: A Record Year: SEC FY 2022 Enforcement Actions Bring Big Penalties |
K&L Gates LLP |
| Nov 15 2022 |
SEC Whistleblower Program Report Reveals Continued Success Protecting Investors and Combatting Fraud [VIDEO] |
Zuckerman Law |
| Nov 14 2022 |
SEC Adopts Final Rule Requiring Additional Proxy Voting Disclosures |
K&L Gates LLP |
| Nov 14 2022 |
Katten Financial Markets and Funds Quick Take: November 2022 |
Katten |
| Nov 14 2022 |
Energy & Sustainability Litigation Updates — November 2022 |
Mintz |
| Nov 14 2022 |
Fake News, American Style: SEC Sues Company and Executives for Phony “News” |
Norris McLaughlin P.A. |
| Nov 14 2022 |
A Short Course In Insider Trading |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Nov 13 2022 |
Chief Information Officer of Publicly Traded Pharmaceutical Company Charged for Insider Trading Scheme |
The U.S. Department of Justice |
| Nov 11 2022 |
DOJ Announces $3.3 Billion Cryptocurrency Seizure and Fraud Conviction |
ArentFox Schiff LLP |
| Nov 11 2022 |
SEC Shifts Focus on Employees’ Off-Channel Business Communications to Investment Advisers |
Sheppard, Mullin, Richter & Hampton LLP |
| Nov 10 2022 |
What Brokers, Company Insiders, and Others Need to Know about Securities Litigation |
Oberheiden P.C. |
| Nov 10 2022 |
Seven Years in the Making: The SEC Finally Adopts Final Clawback Rules |
K&L Gates LLP |
| Nov 10 2022 |
Absorbing and Reacting to the SEC’s New Clawback Rules |
Hunton Andrews Kurth |
| Nov 10 2022 |
SEC v. LBRY, Inc.: The SEC’s Latest Crypto Victory |
Greenberg Traurig, LLP |
| Nov 9 2022 |
SEC Adopts Say-On-Pay Voting Disclosure Requirements For Institutional Investment Managers |
Barnes & Thornburg LLP |
| Nov 9 2022 |
SEC Notches Win in Cryptocurrency Registration Battle |
Bracewell LLP |
| Nov 8 2022 |
Class Action Litigation Newsletter | Fall 2022 |
Greenberg Traurig, LLP |
| Nov 8 2022 |
Litigation Minute: Staying Informed of Government Enforcement Priorities and Trends |
K&L Gates LLP |
| Nov 8 2022 |
An SEC Win - US District Court Judge Rules LBRY’s LBC Token a Security |
Mintz |
| Nov 7 2022 |
Federal Court Rules LBRY Offered Security and Rejects Arguments SEC Did Not Provide Fair Notice |
Sheppard, Mullin, Richter & Hampton LLP |
| 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 |
