| Sep 24 2021 |
Over $1 Billion Whistleblower Awards Paid to Date by the SEC |
Proskauer Rose LLP |
| Sep 23 2021 |
Biden Administration Anti-Corruption Initiative – Three Former U.S. Attorneys Weigh-In [PODCAST] |
Greenberg Traurig, LLP |
| Sep 23 2021 |
Lest We Forget, the SEC Cares About Private Equity |
Foley & Lardner LLP |
| Sep 23 2021 |
SEC Releases Sample Letter Concerning Climate Change Disclosures |
Mintz |
| Sep 22 2021 |
Class Action Waivers Redux: Ninth Circuit Upholds Arbitration Provision Delegating Enforceability Determination to Arbitrator |
Sheppard, Mullin, Richter & Hampton LLP |
| Sep 22 2021 |
Commissioner Gary Gensler Has His Eyes Set on Rule 10b5-1 Plans |
Mintz |
| Sep 21 2021 |
Why Section 11 Is A Big Deal |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Sep 20 2021 |
SEC Awards Over $2.5 Million to Whistleblower |
Kohn, Kohn & Colapinto |
| Sep 20 2021 |
SEC Is Exploring Reforms Regarding Private Fund Disclosure Of Conflicts Of Interest And Fees and Expenses |
Proskauer Rose LLP |
| Sep 18 2021 |
SEC and DOJ Bring Parallel Cases Alleging $8 Million Serial Insider-Trading Scheme |
Winstead |
| Sep 17 2021 |
SEC Fines App Annie and Its CEO for $10 Million in Connection with Non-Anonymized Data |
Mintz |
| Sep 17 2021 |
SEC Grants $11.5 Million in Awards to Two Whistleblowers |
Kohn, Kohn & Colapinto |
| Sep 17 2021 |
SEC: Investment Adviser May Not Say That It May Do What It Already Did |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Sep 16 2021 |
SEC Surpasses $1 Billion in Whistleblower Awards |
Kohn, Kohn & Colapinto |
| Sep 15 2021 |
SEC Chairman Gensler's Senate Testimony Reaffirms focus on ESG Disclosures |
Mintz |
| Sep 15 2021 |
SEC Brings First Enforcement Action Against Alternative Data Provider |
Proskauer Rose LLP |
| Sep 14 2021 |
SEC Approves New Nasdaq Rules Aimed at Advancing Board Diversity |
Hunton Andrews Kurth |
| Sep 13 2021 |
DFPI Mandates Electronic Filings |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Sep 11 2021 |
Maximize Compliance ROI: the Tailored Compliance Check-Up |
Giordano, Halleran & Ciesla, P.C. |
| Sep 10 2021 |
SEBI Puts an End to Physical Disclosure Requirements Under Takeover and Insider Trading Regulations |
Nishith Desai Associates |
| Sep 10 2021 |
SEBI Relaxation on Lock-In Requirements Cheers Private Equity Investors |
Nishith Desai Associates |
| Sep 10 2021 |
SEC Issues an Investor Alert about Digital Asset and “Crypto” Investment Scams! |
Foley & Lardner LLP |
| Sep 10 2021 |
Securities Claim Fails Because Option Exercise Is Not A Sale |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Sep 9 2021 |
Tweeting in the Night: Judgment Entered Against ARCS Stock Tout |
Norris McLaughlin P.A. |
| Sep 9 2021 |
The Changing Contours of AIF Regime in India: Third Amendment Regulations, 2021 and Proposals |
Nishith Desai Associates |
| Sep 8 2021 |
SEC Office of the Investor Advocate Issues Annual Report on Objectives for 2022 Fiscal Year |
Vedder Price |
| Sep 8 2021 |
Citing “Greenwashing” Concerns, IOSCO Issues Recommendations to Securities Regulators on Sustainability-Related Practices, Policies and Disclosures |
Vedder Price |
| Sep 8 2021 |
Division of Examinations Risk Alert Identifies Common Deficient Practices with Wrap Fee Programs |
Vedder Price |
| Sep 8 2021 |
Division of Examinations Cautions Advisers on Compliance Deficiencies with Fixed Income and Principal Cross Trades |
Vedder Price |
| Sep 7 2021 |
SEC Investor Advisory Committee Considers Recommendations to Tighten Rules for Insiders’ Trading Plans |
Proskauer Rose LLP |
| Sep 7 2021 |
July 2021 Update of the SEC’s Covered Actions for Potential Whistleblower Claims |
Proskauer Rose LLP |
| Sep 2 2021 |
Addressing Securities Investment Threats To Certain Chinese Companies |
Barnes & Thornburg LLP |
| Sep 2 2021 |
Which Side Are You On? Municipal Broker/Dealer Takes Both Sides |
Norris McLaughlin P.A. |
| Sep 2 2021 |
Cybersecurity Whistleblowers Protect the House |
Tycko & Zavareei LLP |
| Sep 2 2021 |
The Investment Company Act - "We Didn't Start The Fire . . ." |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
