| Apr 16 2021 |
SEC Statements Regarding SPACs Address Warrants and Projections |
Katten |
| Apr 16 2021 |
SEC Whistleblowers Receive $50 Million Payout, Second-Largest Award in Program History |
Kohn, Kohn & Colapinto |
| Apr 16 2021 |
Gary Gensler to Lead SEC |
Barnes & Thornburg LLP |
| Apr 15 2021 |
SEC Awards Joint Whistleblowers More Than $50 Million |
Proskauer Rose LLP |
| Apr 15 2021 |
Oops: NASDAQ Seeks to Correct a 2009 Error Re: ADR Listing Requirements |
Norris McLaughlin P.A. |
| Apr 14 2021 |
SEC Annual Examination Priorities for RIAs |
Miller Canfield |
| Apr 13 2021 |
IRS Actively Seeking Information Regarding Cryptocurrency Via John Doe Summonses |
Greenberg Traurig, LLP |
| Apr 13 2021 |
Who Are You and How Much Are You Paid? MSRB Proposes Regulation of Solicitor Municipal Advisors |
Norris McLaughlin P.A. |
| Apr 12 2021 |
SEC Whistleblower Chief Jane Norberg to Leave, Agency Announces |
Proskauer Rose LLP |
| Apr 11 2021 |
Accounting-Related Securities Class Action Filings Continue to Rise in 2020 |
Cornerstone Research |
| Apr 9 2021 |
Jane Norberg To Step Down After Years of Success as Chief of SEC Whistleblower Office |
Kohn, Kohn & Colapinto |
| Apr 9 2021 |
Compliance Issues Related to Suspicious Activity Monitoring and Reporting at Broker-Dealers |
Katten |
| Apr 9 2021 |
April 2021 Investment Management Legal and Regulatory Update |
Godfrey & Kahn S.C. |
| Apr 9 2021 |
What Will the SEC's ESG Enforcement Look Like? Cyber Cases Offer Clues |
Bracewell LLP |
| Apr 8 2021 |
SEC Creates Climate Change and ESG Website to Act as Central Hub for Agency Action and Information |
Bracewell LLP |
| Apr 7 2021 |
SEC Investment Advisers: Texas says “April Fools!” to Federal Preemption? |
Winstead |
| Apr 6 2021 |
Valuation in Times of Market Disruption |
Proskauer Rose LLP |
| Apr 6 2021 |
SEC Demonstrates Commitment to Protecting Whistleblowers |
Katz Banks Kumin LLP |
| Apr 6 2021 |
Does The CSL Observe "No Harm, No Foul"? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Apr 5 2021 |
Surge in SPACtivity Leads to Litigation and Regulatory Risks |
McDermott Will & Schulte LLP |
| Apr 5 2021 |
SEC Ventures Into The Dark Web, But Can It Establish A Connection? |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Apr 2 2021 |
SEC Discloses Its Recommendations on Key Issues for Private Companies Weighing SPAC Transactions |
Mintz |
| Mar 31 2021 |
ESG/SEC Disclosure and Implications [VIDEO] |
Bracewell LLP |
| Mar 31 2021 |
Health Care Enforcement Update: Covid-19 Fraud Cases Brought By DOJ And Private Plaintiffs |
Mintz |
| Mar 31 2021 |
Environmental, Social and Corporate Governance: What are the Risks, Really? |
Hunton Andrews Kurth |
| Mar 31 2021 |
To SPAC or not to SPAC -- Key Considerations for Mid-Sized Private Equity Managers about the SPAC Process (Part 1) |
K&L Gates LLP |
| Mar 31 2021 |
Changes to AIFMD Marketing Rules from August 2021 – How will these New Rules Impact Fund Managers? |
Proskauer Rose LLP |
| Mar 30 2021 |
Post-SPAC Technology Company Hit with Securities Class Action |
Proskauer Rose LLP |
| Mar 30 2021 |
What Happens Abroad, Apparently Does Not Stay Abroad – DOL Revokes Trump Administration Guidance That Provided Relief to QPAMs for Convictions Under Foreign Law |
Proskauer Rose LLP |
| Mar 30 2021 |
Polarizing Panel Suggests No Easy Road to Final ESG Regulatory Scheme |
Proskauer Rose LLP |
| Mar 30 2021 |
Under the Cover of Darkness: Insider Trading and the Dark Web |
Norris McLaughlin P.A. |
| Mar 30 2021 |
SEC Whistleblower Office Surpasses Record Number of Claimants Rewarded in a Fiscal Year with $500,000 Award |
Kohn, Kohn & Colapinto |
| Mar 30 2021 |
SEC Seeks Public Input on Potential Changes to Climate Risk Reporting |
Beveridge & Diamond PC |
| Mar 30 2021 |
Supreme Court to Weigh in on Presumption of Reliance in Securities Class Actions: Goldman Sachs v. Arkansas Teacher Retirement System |
Cadwalader, Wickersham & Taft LLP |
| Mar 30 2021 |
European Regulators Publish Joint Opinion on the Jurisdictional Scope of the EU Securitisation Regulation |
Cadwalader, Wickersham & Taft LLP |
