| Dec 9 2021 |
Whistleblowers Key to Combating Cryptocurrency Fraud |
Kohn, Kohn & Colapinto |
| Dec 8 2021 |
Government Enforcement and Investigations Year-In-Review: The Administration Has Moved Its Pieces into Place |
Bracewell LLP |
| Dec 8 2021 |
SEC Issues Statement on LIBOR Transition - Key Considerations |
Cadwalader, Wickersham & Taft LLP |
| Dec 8 2021 |
Securities Litigation Update: Second Circuit Opines on Pleading Standards and Statutory Standing for Claims Under Section 10(b) of the Securities Exchange Act of 1934 |
Cadwalader, Wickersham & Taft LLP |
| Dec 7 2021 |
Key Takeaways: CFTC's FY 2021 Swap Dealers Enforcement Actions |
Katten |
| Dec 7 2021 |
Whistleblower Receives Nearly $5 Million for Helping SEC Return Millions to Harmed Investors |
Kohn, Kohn & Colapinto |
| Dec 7 2021 |
Does A Statutory Fine Constitute A "Threat"? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Dec 6 2021 |
SEC Approves PCAOB Rule Governing Determinations Under the Holding Foreign Companies Accountable Act |
Miller Canfield |
| Dec 5 2021 |
SEC Continues Its Focus on Executive Compensation |
Bracewell LLP |
| Dec 3 2021 |
SEC Commissioner Crenshaw Focuses on Internal Controls Concerning ESG Risks |
Mintz |
| Dec 3 2021 |
SEC Chairman Gensler Re-Affirms Focus on Climate Disclosures |
Mintz |
| Dec 3 2021 |
SEC Commissioners Continue Debate on Regulating Crypto |
Cadwalader, Wickersham & Taft LLP |
| Dec 3 2021 |
SEC Finalizes Amendments to Implement Holding Foreign Companies Accountable Act Requirements |
Cadwalader, Wickersham & Taft LLP |
| Dec 3 2021 |
SEC Awards $400,000 to Whistleblower Culpable In Fraudulent Scheme |
Proskauer Rose LLP |
| Dec 3 2021 |
FTC Whistleblower Act Would Reward and Protect Whistleblowing About Data Privacy Misconduct and Other Deceptive Practices |
Zuckerman Law |
| Dec 2 2021 |
Present But Not Accounted For: NYSE Amends Treatment Of Abstentions In Certain Shareholder Votes |
Nelson Mullins |
| Dec 2 2021 |
SEC Adopts Universal Proxy Rules |
Jones Walker LLP |
| Dec 2 2021 |
Update: SEC Approves NYSE's Amendment to Rule 312.07 to Clarify That "Votes Cast" Should Be Calculated According to a Listed Company's Governing Documents and State Law |
Jones Walker LLP |
| Dec 2 2021 |
SIFMA, DTCC and ICI to Shorten U.S. Securities Settlement Cycle |
Cadwalader, Wickersham & Taft LLP |
| Dec 1 2021 |
SEC Awards $175,000 to Whistleblower for Independent Analysis |
Kohn, Kohn & Colapinto |
| Dec 1 2021 |
SEC Releases FY 2021 Whistleblower Program Annual Report |
Proskauer Rose LLP |
| Dec 1 2021 |
SEC Announces FY2021 Results With 7 Percent Increase in New Enforcement Actions |
Barnes & Thornburg LLP |
| Nov 30 2021 |
Good News and Bad News about Unclaimed Property in Wisconsin |
Foley & Lardner LLP |
| Nov 29 2021 |
Useful Reference Materials for Compliance with the New Derivatives Rule for “Limited Derivatives Users” |
Vedder Price |
| Nov 24 2021 |
SEC Awards $400,000 to Whistleblower Culpable in Ponzi Scheme They Reported |
Kohn, Kohn & Colapinto |
| Nov 23 2021 |
2021 SEC Enforcement Results – Takeaways for Fund Managers |
Proskauer Rose LLP |
| Nov 23 2021 |
DAOsing Rods and the Power of Enforcement Prediction |
Polsinelli PC |
| Nov 23 2021 |
SEC Rule Change to Clear Path for Investors on Corporate Boards |
Mintz |
| Nov 22 2021 |
SEC Awards Over $10 Million to Several Whistleblowers |
Kohn, Kohn & Colapinto |
| Nov 19 2021 |
SEC Staff Issues Update Regarding Withdrawal and Modification of Staff Letters Relating to New Adviser Marketing Rule |
Vedder Price |
| Nov 19 2021 |
SEC Proposes Amendments to Electronic Filing Requirements and Re-Proposes Certain Amendments to Reports of Institutional Investment Managers |
Vedder Price |
| Nov 19 2021 |
Division of Examinations Risk Alert Identifies Compliance Issues at Registered Investment Companies |
Vedder Price |
| Nov 19 2021 |
SEC Reports Significant Increases In FY2021 Whistleblower Program |
Jackson Lewis P.C. |
| Nov 19 2021 |
SEC Adopts Amendments to Filing Fee Disclosure and Payment Methods |
Vedder Price |
| Nov 19 2021 |
SEC Chair Gary Gensler Provides Statement on Complex Exchange-Traded Products |
Vedder Price |
