| 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 |
| 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 |
