| Mar 11 2021 |
New SEC Task Force Further Demonstrates Biden Administration’s Sharp Focus on Climate and ESG Issues |
ArentFox Schiff LLP |
| Mar 11 2021 |
SEC Finally Posts Nasdaq's Proposed Amendments To Diversity Rule |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Mar 10 2021 |
Climate Risk Disclosures Face Increased Scrutiny and Potential Change to Reporting Requirements |
Beveridge & Diamond PC |
| Mar 9 2021 |
Are You Covered? The Exposure of D’s and O’s for Diverse Reasons |
Norris McLaughlin P.A. |
| Mar 9 2021 |
SEC Whistleblower Earns $1.5 Million Award for Assisting in Fraud Investigation |
Kohn, Kohn & Colapinto |
| Mar 8 2021 |
ESG Is in the (SEC) House: SEC Exams, Enforcement and Regulations are Coming |
Katten |
| Mar 8 2021 |
Publication of Sweeping Changes to SEC Marketing Rule Sets Effective and Compliance Dates |
Proskauer Rose LLP |
| Mar 8 2021 |
New Investment Adviser Marketing Rules Take Effect May 4, 2021 |
Miller Canfield |
| Mar 8 2021 |
SEC Going Cyber-Hunting for ESG-Related Misconduct |
Sheppard, Mullin, Richter & Hampton LLP |
| Mar 8 2021 |
New SEC Task Force Confirms Commitment to ESG Focus |
Bracewell LLP |
| Mar 7 2021 |
SEC Division of Examinations Releases Risk Alert for Digital Asset Securities |
Proskauer Rose LLP |
| Mar 6 2021 |
The SEC Signals ESG as an Enforcement and Disclosure Priority |
Dinsmore & Shohl LLP |
| Mar 5 2021 |
UK Listing Review Publishes Recommendations |
Cadwalader, Wickersham & Taft LLP |
| Mar 5 2021 |
SEC Announces 2021 Examination Priorities |
Katten |
| Mar 5 2021 |
SEC Announces New Climate and ESG Task Force |
Katten |
| Mar 5 2021 |
SEC Whistleblowers Located Abroad Receive $5 Million Joint Award |
Kohn, Kohn & Colapinto |
| Mar 5 2021 |
SEC Examination Risk Alert Signals Focus on Digital Asset Securities |
Foley & Lardner LLP |
| Mar 5 2021 |
SEC Exam Priorities for 2021 – Focus on Seniors, Reg. BI and Climate Risk (ESG) |
Mintz |
| Mar 4 2021 |
SEC Stops the Game: Suspending Trading After “Questionable Trading and Social Media Activity” |
Norris McLaughlin P.A. |
| Mar 2 2021 |
The Division of Examinations’ Continued Focus on Digital Asset Securities and Implications for Investment Advisers |
Winstead |
| Mar 2 2021 |
Public Benefit Corporations are Going Public |
Mintz |
| Mar 2 2021 |
Commodity Fraud Whistleblowers: Emergency Congressional Fix Needed to Save Successful Program |
Kohn, Kohn & Colapinto |
| Mar 2 2021 |
Being Held Accountable: The ‘Education’ of KPMG at the College of New Rochelle |
Norris McLaughlin P.A. |
| Mar 2 2021 |
U.S. Climate Finance Summit: Regulators Call for ESG Disclosures; Investors Demand Them |
Proskauer Rose LLP |
| Mar 1 2021 |
SPAC Securities Class Action Comes for Private Equity Sponsor |
Proskauer Rose LLP |
| Feb 26 2021 |
SEC Issued Order Permitting 30-Day Filing Extension for Broker-Dealers |
Katten |
| Feb 26 2021 |
Acting SEC Chair Issues Statement on Climate-Change Disclosures |
Katten |
| Feb 25 2021 |
India: Exemptions for AIF Investment Committees |
Nishith Desai Associates |
| Feb 25 2021 |
‘X-Rated’: SEC Sues Morningstar |
Norris McLaughlin P.A. |
| Feb 24 2021 |
Delaware Court of Chancery Holds that a Contractual Delaware Choice of Law Provision Did Not Waive Plaintiff’s Claim Under the California Securities Act |
Sheppard, Mullin, Richter & Hampton LLP |
| Feb 24 2021 |
Treasury Secretary Skeptical of Bitcoin |
Hunton Andrews Kurth |
| Feb 23 2021 |
‘Bucking the Break’: SEC Requests Comments on MMF Reforms |
Norris McLaughlin P.A. |
| Feb 23 2021 |
SEC Whistleblower Awarded Over $9.2 Million For Successful Related Actions with DOJ |
Kohn, Kohn & Colapinto |
| Feb 22 2021 |
Top 10 Ways Companies Cook the Books |
Zuckerman Law |
| Feb 22 2021 |
FINRA’s Focus on Variable Annuity Switches Continues |
Faegre Drinker |
