| Nov 19 2021 |
FY2021 a Big Year for SEC Enforcement Efforts |
Kohn, Kohn & Colapinto |
| Nov 19 2021 |
ISDA Publishes Suggested Practices for SEC SBS Reporting Party Determinations |
Cadwalader, Wickersham & Taft LLP |
| Nov 19 2021 |
Investment Adviser Settles Charges for Mishandling MNPI |
Cadwalader, Wickersham & Taft LLP |
| Nov 19 2021 |
SIFMA Conducts Financial Sector Cybersecurity Exercise |
Cadwalader, Wickersham & Taft LLP |
| Nov 19 2021 |
SEC Highlights Spike in Whistleblower Tips in Fiscal Year 2021 |
Cadwalader, Wickersham & Taft LLP |
| Nov 19 2021 |
SEC Enforcement Report Touts Volume of New Actions and Increase in Penalties |
Cadwalader, Wickersham & Taft LLP |
| Nov 19 2021 |
SEC Proposes Amendments to Electronic Recordkeeping Requirements |
Cadwalader, Wickersham & Taft LLP |
| Nov 19 2021 |
SEC Proposes to Require Extensive Disclosures on Securities Loans |
Cadwalader, Wickersham & Taft LLP |
| Nov 18 2021 |
SEC Continues to Advance ESG Agenda |
Hunton Andrews Kurth |
| Nov 17 2021 |
SEC Actions Against Public Companies and Subsidiaries Declined Again in FY 2021 |
Cornerstone Research |
| Nov 17 2021 |
Implications of SEC’s Scrutiny of Data Use Representations |
Sheppard, Mullin, Richter & Hampton LLP |
| Nov 16 2021 |
SEC Chair Gensler Signals SEC Policies for Private Funds |
Proskauer Rose LLP |
| Nov 16 2021 |
SEC Issues Risk Alert on Investment Advisers that Provide Electronic Investment Advice |
Vedder Price |
| Nov 16 2021 |
SEC Whistleblower Program Attracts Record Number of Tips and Pays Record Awards in FY 2021 |
Zuckerman Law |
| Nov 15 2021 |
SEC Issues Risk Alert on Investment Advisers' Fee Calculations |
Vedder Price |
| Nov 15 2021 |
SEC Report Details Record-Shattering Year for Whistleblower Program |
Kohn, Kohn & Colapinto |
| Nov 15 2021 |
SEC Alleges Form 10 Was Misleading, But Is The SEC's Order Itself Misleading? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Nov 12 2021 |
SEC Halts DAO’s Registration of Two Stable Tokens as Securities, Alleging Material Deficiencies in the Disclosure |
Proskauer Rose LLP |
| Nov 11 2021 |
DOL Sets New Tone on ESG Investing and Proxy Voting with Recently Proposed Rule |
K&L Gates LLP |
| Nov 10 2021 |
SEC Awards More Than $15 Million to Two Whistleblowers |
Kohn, Kohn & Colapinto |
| Nov 10 2021 |
SEC Observes Compliance Deficiencies in Digital Investment Advisory Services |
Cadwalader, Wickersham & Taft LLP |
| Nov 10 2021 |
Exchange-Traded Fund and Its CPO Settle SEC and CFTC Charges of Inadequate Disclosure |
Cadwalader, Wickersham & Taft LLP |
| Nov 10 2021 |
SEC Halts Registration of Two Digital Tokens |
Cadwalader, Wickersham & Taft LLP |
| Nov 10 2021 |
SEC Commissioner Lee Reviews Scope of Reg BI in Light of Market Developments |
Cadwalader, Wickersham & Taft LLP |
| Nov 9 2021 |
Internal Affairs And Limited Partnerships |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Nov 9 2021 |
The SEC Joins DOJ's War on Corporate Offenders |
Bracewell LLP |
| Nov 9 2021 |
SEC Commissioner Crenshaw Urges "Responsible Innovation" in the DeFi Market |
Cadwalader, Wickersham & Taft LLP |
| Nov 9 2021 |
SEC Enforcement Director Rejects "Regulation by Enforcement" Criticism |
Cadwalader, Wickersham & Taft LLP |
| Nov 8 2021 |
SEC Cryptocurrency Enforcement: Q3 2021 Update |
Cornerstone Research |
| Nov 8 2021 |
SEC Approves PCAOB Rule Implementing Holding Foreign Companies Accountable Act |
Cadwalader, Wickersham & Taft LLP |
| Nov 8 2021 |
SEC Proposes Expanding Electronic Filing Requirements on IARD and EDGAR Systems |
Cadwalader, Wickersham & Taft LLP |
| Nov 6 2021 |
SEC Releases Shareholder Proposal Staff Legal Bulletin Regarding Rule 14a-8 Under the Exchange Act |
Womble Bond Dickinson (US) LLP |
| Nov 5 2021 |
SEC Determines That Shareholder Climate Change Proposals Should Not Be Excluded |
Mintz |
| Nov 5 2021 |
SEC Officials Highlight Regulatory Priorities for Asset Management |
Cadwalader, Wickersham & Taft LLP |
| Nov 5 2021 |
SEC Commissioner Peirce Weighs in on Crypto and More |
Cadwalader, Wickersham & Taft LLP |
