| Dec 22 2021 |
SEC Proposes Amendments to the Requirements of Rule 10b5-1 Trading Plans |
Barnes & Thornburg LLP |
| Dec 22 2021 |
Court Rules "Thoughtful," "Disciplined," and "Dynamic" Are But Short Blasts Of Wind |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Dec 22 2021 |
SEC Proposes New Rules for Share Repurchases and Rule 10b5-1 and Insider Trading Matters |
Womble Bond Dickinson (US) LLP |
| Dec 22 2021 |
SEC Committee Recommends Firms Improve Form CRS Disclosures |
Cadwalader, Wickersham & Taft LLP |
| Dec 21 2021 |
SEC and DOJ Bring Parallel Civil and Criminal Charges Against Five Russians for $82 Million Hack-And-Trade Scheme |
Winstead |
| Dec 21 2021 |
The Latest News Affecting the Capital Markets |
Nelson Mullins |
| Dec 20 2021 |
SEC Commissioner Crenshaw Voices Additional Support for ESG Disclosures |
Mintz |
| Dec 17 2021 |
SEC Proposes Another Round of Money Market Reforms |
K&L Gates LLP |
| Dec 17 2021 |
SEC Sets the Table for Stricter Rule 10 B5-1 Insider Trading Plans and Enhanced Disclosures for Company Repurchases |
McDermott Will & Emery |
| Dec 17 2021 |
SEC Seeks to Fix “Cracks” in Rule 10b5-1 |
Nelson Mullins |
| Dec 17 2021 |
FINRA Extends Temporary Relief for FINRA Staff from Certain Procedural Requirements |
Cadwalader, Wickersham & Taft LLP |
| Dec 17 2021 |
SEC Awards Over $900,000 to Whistleblower |
Kohn, Kohn & Colapinto |
| Dec 17 2021 |
SDNY: Confidentiality Agreement Impeded Investors from Whistleblowing |
Proskauer Rose LLP |
| Dec 17 2021 |
Implementation of EU Whistleblowing Directive: Where Are We Now? |
Squire Patton Boggs (US) LLP |
| Dec 17 2021 |
SEC Commissioner Pierce Criticizes ESG Regulations |
Mintz |
| Dec 17 2021 |
SEC Runs Away From Its Staff's Response To Congress |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Dec 17 2021 |
SEC Names Chief Administrative Law Judge |
Cadwalader, Wickersham & Taft LLP |
| Dec 17 2021 |
CAT Participants Withdraw Revised Funding Model Proposal |
Cadwalader, Wickersham & Taft LLP |
| Dec 17 2021 |
Firm Settles SEC and CFTC Recordkeeping Violations from Use of Personal Communications |
Cadwalader, Wickersham & Taft LLP |
| Dec 17 2021 |
GAO Identifies Deficiencies in SEC Oversight of FINRA |
Cadwalader, Wickersham & Taft LLP |
| Dec 16 2021 |
New Enforcement Director Outlines Priorities for “Robust” Enforcement at SEC |
Cadwalader, Wickersham & Taft LLP |
| Dec 16 2021 |
Why Does The SEC Staff Forbid Accurate Statements? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Dec 15 2021 |
Biggest Stories of 2021 |
Bracewell LLP |
| Dec 15 2021 |
Generic ESG Statements Remain Under Fire: Class Certification Granted for the Third Time as the Saga of the Goldman Sachs Securities Litigation Continues |
Bracewell LLP |
| Dec 14 2021 |
Firms Settle FINRA Charges for Supervisory Violations on UIT Rollovers |
Cadwalader, Wickersham & Taft LLP |
| Dec 14 2021 |
SEC Returns to Individual Written Response Policy for Proxy Requests |
Cadwalader, Wickersham & Taft LLP |
| Dec 14 2021 |
Robo-adviser Risk Alert: Observations from Examinations of Advisers that Provide Electronic Investment Advice |
Polsinelli PC |
| Dec 14 2021 |
SEC Commissioner Peirce Advocates for Longer Rulemaking Comment Periods |
Cadwalader, Wickersham & Taft LLP |
| Dec 14 2021 |
SEC Commissioners Peirce and Roisman Criticize Chair Gensler's Regulatory Agenda |
Cadwalader, Wickersham & Taft LLP |
| Dec 14 2021 |
Gensler Speaks Out on SPACs, Notes Similarities with Traditional IPOs and Hints at Future SEC Action |
Proskauer Rose LLP |
| Dec 14 2021 |
New Laws For A New Year |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Dec 13 2021 |
Godot Is Still Waiting . . . |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Dec 11 2021 |
SEC's Acting Chief Accountant Emphasizes Significance of Climate Disclosures |
Mintz |
| Dec 10 2021 |
“Who Are You”: US SEC Identifies Unregistered Soliciting Entities |
Norris McLaughlin P.A. |
| Dec 10 2021 |
New SEBI Rules for AIF LPS to Co-Invest |
Nishith Desai Associates |
