| 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 |
| 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 |
