| 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 |
| 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 |
