| Jul 1 2022 |
SEC Solicits Comments on Whether Index Providers, Model Portfolio Providers, and Pricing Services Are Investment Advisors: Seeking a Problem for A "Solution" |
K&L Gates LLP |
| Jul 1 2022 |
Implications of West Virginia v. EPA on Proposed SEC Climate Rules |
Mintz |
| Jun 30 2022 |
Employers Beware – SEC Renews Enforcement Initiative Against Agreements (This Time a Non-Compete) That Interfere with Whistleblowers’ Unfettered Access to the SEC |
Epstein Becker & Green, P.C. |
| Jun 30 2022 |
The Changing Landscape of Activism: A Conversation with Alliance Advisors |
Jones Walker LLP |
| Jun 30 2022 |
DTSA Whistleblower Language May Be Required, but Is It Sufficient? Not According to the SEC |
Epstein Becker & Green, P.C. |
| Jun 29 2022 |
Webinar Recording: Cryptocurrency in Employee Benefits and Executive Compensation: Let's Discuss! [VIDEO] |
Mintz |
| Jun 29 2022 |
Estate Planning During Periods of Inflation and Market Volatility |
Polsinelli PC |
| Jun 29 2022 |
China Securities Regulatory Commission issued Proposed Provisions Related to Offshore Listing |
Sheppard, Mullin, Richter & Hampton LLP |
| Jun 27 2022 |
Serving the Public? SEC Charges Two Municipalities and Their Leaders with Bond Fraud |
Norris McLaughlin P.A. |
| Jun 24 2022 |
Supreme Court To Decide on DOJ Authority in FCA Suits |
ArentFox Schiff LLP |
| Jun 24 2022 |
Republican SEC Commissioner Peirce Objects to SEC Regulatory Agenda |
Mintz |
| Jun 23 2022 |
SEC Updates Electronic Filing Requirements |
Foley & Lardner LLP |
| Jun 23 2022 |
SEC Proposes Additional ESG Disclosure Requirements for Regulated Funds and Related Expansion of Investment Company Act "Names Rule" |
Katten |
| Jun 23 2022 |
An Undefined Business Relationship Might Create Fiduciary Duties |
Womble Bond Dickinson (US) LLP |
| Jun 22 2022 |
SEC Charges Private Equity Adviser for Undisclosed Disproportionate Allocation of Transaction Expenses to Advised Fund |
ArentFox Schiff LLP |
| Jun 22 2022 |
A Truly Piscatory Exemption |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jun 21 2022 |
Federal Regulation of Securities Committee of the Business Law Section of the American Bar Association Takes Aim at SEC Proposed SPAC Rules |
ArentFox Schiff LLP |
| Jun 21 2022 |
Litigation Minute: The "G": Governance Issues Keep the Board from Getting Bored |
K&L Gates LLP |
| Jun 21 2022 |
Q&A on The Proposed ESG Reforms for Registered Funds: Addressing the Potential Challenges Imposed and Comment Opportunities |
K&L Gates LLP |
| Jun 21 2022 |
Texas Supreme Court Holds That A Director Of A Corporation Cannot Hold An Informal Fiduciary Duty To A Stockowner |
Winstead |
| Jun 21 2022 |
High Risk, No Reward: SEC’s First Reg BI Enforcement Action |
Mintz |
| Jun 20 2022 |
Changing the Game: SEC Brings Enforcement Action for Exchanging Annuities |
Norris McLaughlin P.A. |
| Jun 18 2022 |
NFT Insider Trading – Can There Be A Crime If It’s Not A Security? |
Sheppard, Mullin, Richter & Hampton LLP |
| Jun 17 2022 |
Unchartered Waters: Crypto Exchange Assets in Bankruptcy |
Nelson Mullins |
| Jun 16 2022 |
NFT Insider Trading Compliance Policies – What They Cover and Why You Need One |
Sheppard, Mullin, Richter & Hampton LLP |
| Jun 16 2022 |
Australia: New Greenwashing Guidance |
K&L Gates LLP |
| Jun 15 2022 |
Key ESG Takeaways from Bracewell Fireside Chat with CFTC and SEC Commissioners |
Bracewell LLP |
| Jun 15 2022 |
FINRA Facts and Trends: June 2022 |
Bracewell LLP |
| Jun 15 2022 |
SEC Investigating Lack of Insider Trading Policies for NFT/Crypto Exchanges |
Sheppard, Mullin, Richter & Hampton LLP |
| Jun 14 2022 |
West Virginia Threatens Boycott of Major Financial Institutions Due to Alleged Bias Against Fossil Fuel Industry |
Mintz |
| Jun 14 2022 |
D.C. Circuit: No Award to Whistleblower Who Made Disclosure Before Enactment of SEC’s Whistleblower Program |
Proskauer Rose LLP |
| Jun 14 2022 |
Katten Financial Markets and Funds Quick Take: June 2022 |
Katten |
| Jun 13 2022 |
National Realty Investment Advisors Lands in Bankruptcy |
Stark & Stark |
| Jun 13 2022 |
SEC Proposes Regulations to Address “Greenwashing” By Investment Funds |
Mintz |
| Jun 13 2022 |
SEC Proposes ESG Reporting and Disclosure Requirements for Private Fund Advisers |
Proskauer Rose LLP |
