| Jun 13 2022 |
A Fool in Idaho; SEC Sues Idahoans for Insider Trading Scheme |
Norris McLaughlin P.A. |
| Jun 13 2022 |
SEC Reopens Comment Period On Deeply Flawed Proposed Claw-Back Rules |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jun 13 2022 |
CFTC Wades Into Climate Regulation |
Mintz |
| Jun 10 2022 |
Shareholder Activism: An ESG Tool or A Founder's Curse? |
Nishith Desai Associates |
| Jun 10 2022 |
New SEC Rule Mandates Electronic Filing of Form 144S and “Glossy” Annual Reports |
McDermott Will & Schulte LLP |
| Jun 10 2022 |
Investment Adviser’s Enforcement Proceeding Results in Mutual Fund Industry Disqualification |
Vedder Price |
| Jun 10 2022 |
SEBI Settlement Order - Research Analysts Not to Provide Model Portfolio Products |
Nishith Desai Associates |
| Jun 10 2022 |
SEC Enforcement Division to Increase Size of Crypto Assets and Cyber Unit |
Vedder Price |
| Jun 10 2022 |
SEC’s ESG Proposal Includes Proposed Reporting Requirement for All Index Funds—Whether ESG-Focused or Not |
Vedder Price |
| Jun 10 2022 |
SEC Proposes Rule and Form Amendments to Enhance Disclosures by Advisers and Funds About ESG Investment Practices |
Vedder Price |
| Jun 10 2022 |
SEC Proposes Amendments to Fund Names Rule |
Vedder Price |
| Jun 10 2022 |
Registered Funds and The New Names Rule Proposals: What You Need to Know and Why You Need to Comment Now |
K&L Gates LLP |
| Jun 9 2022 |
Economic Issues in Merger Analysis for Platforms |
Cornerstone Research |
| Jun 9 2022 |
Platform Competition and the Regulation of Stock Exchange Fees |
Cornerstone Research |
| Jun 8 2022 |
Registered Funds and The New ESG Rule Proposals: Everything You Wanted to Know (But Were Afraid to Ask) |
K&L Gates LLP |
| Jun 8 2022 |
SEC Cyber Regulation Efforts: A Mid-Year Review |
Squire Patton Boggs (US) LLP |
| Jun 8 2022 |
French Regulator Calls For Regulation of Providers of ESG Ratings and Other Services |
Mintz |
| Jun 7 2022 |
Fifth Circuit Decision Threatens to Upend SEC’s Use of Administrative Proceedings |
Robinson & Cole LLP |
| Jun 7 2022 |
SEC Proposes New Disclosure and Reporting Requirements Concerning ESG for Advisors and Registered Investment Funds |
ArentFox Schiff LLP |
| Jun 7 2022 |
Litigation Minute: The "E": Environmental Regulation and Ethos |
K&L Gates LLP |
| Jun 7 2022 |
May 2022 Crypto Enforcement Actions and Regulatory Guidance Roundup |
Sheppard, Mullin, Richter & Hampton LLP |
| Jun 6 2022 |
Half a Loaf Is Not Enough: Second Circuit Sustains Fraud Claim for Failure to Disclose SEC Investigation |
McDermott Will & Schulte LLP |
| Jun 4 2022 |
Insider Trading or Wire Fraud: A Closer Look at the Charges Facing a Former OpenSea Employee and What We Can Learn From It |
Mintz |
| Jun 3 2022 |
Former CEO Indicted for Misleading Investors About COVID-19 Test Kits |
ArentFox Schiff LLP |
| Jun 2 2022 |
5 Keys to Successfully Defend Against Whistleblower Claims |
Oberheiden P.C. |
| Jun 2 2022 |
Regulators Ramp Up Scrutiny of ESG Funds |
Beveridge & Diamond PC |
| Jun 2 2022 |
SEC Brings Enforcement to Tragedy: Asserts Failed ESG Disclosure in Dam Collapse |
Norris McLaughlin P.A. |
| Jun 2 2022 |
As Part of Global Crackdown on Greenwashing, German Prosecutors Raid Asset Manager |
Mintz |
| Jun 2 2022 |
SEC Commissioner Signals Need to Fulfill Mandate of Sarbanes-Oxley Act and Develop “Minimum Standards” for Lawyers Practicing Before the Commission |
Cadwalader, Wickersham & Taft LLP |
| Jun 1 2022 |
Fifth Circuit Bombshell on SEC ALJs Raises Questions about DEA ALJs |
Cadwalader, Wickersham & Taft LLP |
| Jun 1 2022 |
Takeaways From the Web3 Legal Conference [PODCAST] |
Bracewell LLP |
| May 31 2022 |
Fifth Circuit's Constitutional Carve-Back of the SEC's ALJ Enforcement Proceedings Likely to Lead to More Federal Court Cases |
Bracewell LLP |
| May 31 2022 |
Securities and Exchange Commission V. LBRY; Is Your Crypto Project Illegal? |
Sheppard, Mullin, Richter & Hampton LLP |
| May 31 2022 |
Don't Go Out On A Limb And Seek Enforcement Of These Voting Agreements |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| May 31 2022 |
The game is in the name of the game−and the name of the game is ESG: SEC proposes new Fund rules to further combat “Greenwashing” |
Foley & Lardner LLP |
