| Nov 5 2021 |
SEC Updates Cleared CDS Exemptions |
Cadwalader, Wickersham & Taft LLP |
| Nov 4 2021 |
The Growing Risk of Securities Fraud Litigation Under Section 17(a) |
Oberheiden P.C. |
| Nov 3 2021 |
SEC Issues Risk Alert Regarding Registered Investment Companies |
Greenberg Traurig, LLP |
| Nov 3 2021 |
SEC Publishes Sample Letter to Companies on Environmental Disclosures |
Sheppard, Mullin, Richter & Hampton LLP |
| Nov 3 2021 |
The Confidentially Marketed Public Offering for the Smaller Reporting Company |
Stubbs Alderton & Markiles, LLP |
| Nov 3 2021 |
Security-Based Swap Rules for End-Users |
Sheppard, Mullin, Richter & Hampton LLP |
| Nov 2 2021 |
Securities Litigation Update: Divided Ninth Circuit Permits Direct-Listing Investors to Assert Securities Act Claims, Despite Inability to Differentiate Between Registered and Unregistered Shares |
Cadwalader, Wickersham & Taft LLP |
| Nov 1 2021 |
Don’t Abandon Whistleblowers Who Report Money Laundering Crimes |
Kohn, Kohn & Colapinto |
| Oct 29 2021 |
Will SPAC Restatements Trigger Shareholder Litigation? |
Cornerstone Research |
| Oct 29 2021 |
SEC Grants $2 Million Related Action Award to Whistleblower Based on 2020 Rule |
Kohn, Kohn & Colapinto |
| Oct 29 2021 |
FICC Settles SEC Charges for Liquidity Policy and Risk Management Failures |
Cadwalader, Wickersham & Taft LLP |
| Oct 28 2021 |
What's Under the Canoe? |
Bracewell LLP |
| Oct 28 2021 |
SEC Issues Two Separate Whistleblower Awards |
Kohn, Kohn & Colapinto |
| Oct 26 2021 |
DFPI Issues Cryptic Cryptocurrency Warning |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 25 2021 |
SEC Awards Over $1.5 Million to Joint Whistleblowers |
Kohn, Kohn & Colapinto |
| Oct 25 2021 |
CFTC Whistleblower Reward Program: What Violations Qualify for an Award? |
Zuckerman Law |
| Oct 23 2021 |
SEC Commissioner Lee Highlights Role of Prior Efforts in Develop SEC Climate Disclosure Regulations |
Mintz |
| Oct 22 2021 |
CFTC Shows Whistleblowers the Money: Implications of Record $200 Million Award |
Zuckerman Law |
| Oct 21 2021 |
Navigating the SEC’s Renewed Clawback Rule Proposal |
Dinsmore & Shohl LLP |
| Oct 20 2021 |
Disgorgement Continues at the SEC |
Proskauer Rose LLP |
| Oct 19 2021 |
Spotlight On ESG Investing: The Importance of Understanding Environmental, Social and Governance Factors and Their Impact on Investing |
Mintz |
| Oct 19 2021 |
SEC Issues Climate Change Disclosure Compliance Letters |
Robinson & Cole LLP |
| Oct 19 2021 |
Claw Backs And Preemption |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Oct 18 2021 |
SEC Rule 10b5-1 Trading Plans — Update on Potential Reforms |
Vedder Price |
| Oct 18 2021 |
SEC Awards $40 Million to Two Whistleblowers |
Proskauer Rose LLP |
| Oct 18 2021 |
SEC Awards $40M to Two Whistleblowers: Lessons for Prospective SEC Whistleblowers |
Zuckerman Law |
| Oct 15 2021 |
Review of Recent Whistleblower Developments: October 2021 |
Foley & Lardner LLP |
| Oct 15 2021 |
IDC Requests Additional Relief with Respect to Fund Board In-Person Voting Requirements |
Vedder Price |
| Oct 15 2021 |
SEC Issues Over $40 Million in Whistleblower Awards |
Kohn, Kohn & Colapinto |
| Oct 15 2021 |
Highlights from SEC Speaks 2021 Chair/Commissioner Remarks and Litigation and Enforcement Trends |
Vedder Price |
| Oct 15 2021 |
SEC Requests Comment on Broker-Dealer and Investment Adviser Digital Engagement Practices |
Vedder Price |
| Oct 15 2021 |
SEC Proposes Enhanced Proxy Voting Reporting Requirements for Funds and Managers |
Vedder Price |
| Oct 14 2021 |
SEC Begins New Fiscal Year with Multiple Whistleblower Awards |
Kohn, Kohn & Colapinto |
| Oct 11 2021 |
Protections for Whistleblowers Who Share Company Documents |
Katz Banks Kumin LLP |
| Oct 11 2021 |
Delaware Supreme Court Adopts New Three-Prong Test for Demand Futility |
Sheppard, Mullin, Richter & Hampton LLP |
