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Pillsbury Winthrop Shaw Pittman LLP
Although the SEC did not bring as many headline enforcement actions against private funds as in years past, it continues to devote substantial resources and attention to investment advisers.
Gibson, Dunn & Crutcher
The number of securities cases filed in federal court continued at a furious pace for the third year in a row. This year-end update highlights what you most need to know in securities litigation...
Shearman & Sterling LLP
On February 6, 2020, Judge James S. Moody, Jr. of the United States District Court for the Middle District of Florida dismissed a putative class action.
Shearman & Sterling LLP
On February .7, 2020, Judge Richard G. Andrews of the United States District Court for the District of Delaware granted in part and denied in part motions to dismiss a putative securities class action
Cadwalader, Wickersham & Taft LLP
The NYSE made recommendations to improve an SEC proposal on National Market System Plans concerning public consolidated equity market data and the dissemination of trade and quote data.
Foley Hoag LLP
Created by the Sarbanes-Oxley Act of 2002, the PCAOB was intended to provide independent oversight of auditors of public companies and broker-dealers.
Fenwick & West LLP
The U.S. Securities and Exchange Commission has issued guidance on the use of financial metrics and has proposed significant amendments pertaining to Regulation S-K's financial disclosure provisions​.
Cadwalader, Wickersham & Taft LLP
The SEC charged an investment advisory firm and two of its investment advisers with violating their fiduciary duty and defrauding clients by failing to disclose significant financial conflicts of interest.
Ward and Smith, P.A.
Companies fund expansions, acquisitions, operations, and other plans in a variety of ways, including using current income generated by their businesses, calling for additional contributions
Jones Day
The updated FAQs clarify that professional legal representatives are not "retail customers/investors" for purposes of Regulation Best Interest and Form CRS, and they allow for non-English relationship summaries ...
Gibson, Dunn & Crutcher
On January 30, 2020, the Board of Governors of the Federal Reserve System issued a final rule that would update and revise, to some degree, its framework for finding "control" under the Bank...
Cadwalader, Wickersham & Taft LLP
The North American Securities Administrators Association ("NASAA") found an increase in reporting by jurisdictions that adopted the Model Act to Protect Vulnerable Adults from Financial Exploitation (the "Model Act").
Kramer Levin Naftalis & Frankel LLP
On Jan. 30, 2020, the Financial Industry Regulatory Authority (FINRA) proposed amendments to the Capital Acquisition Broker (CAB) rules to expand the range of permitted activities for CABs
Womble Bond Dickinson
The Internal Revenue Service ("IRS") recently proposed Regulation 122180-18 (the "Proposed Regulations") to implement the amendments found in the Tax Cuts and Jobs Act of 2017 ...
Proskauer Rose LLP
On January 30, 2020, the Securities and Exchange Commission ("SEC" or "Commission") published interpretive guidance (the "Guidance")
O'Melveny & Myers LLP
On January 30, 2020, the Securities and Exchange Commission (SEC) announced proposed amendments intended to modernize and enhance certain Regulation S-K financial and MD&A disclosure requirements.
Mayer Brown
In this Legal Update, we provide certain US Securities and Exchange Commission (SEC) filing deadlines and key financial statement staleness dates for calendar year 2020.
Cooley LLP
And here's where boards will really need Dr. Phil….or maybe Dr. Melfi. As the reason for the change, Nasdaq explains that it believes the prior definition was over-inclusive.
Cadwalader, Wickersham & Taft LLP
On January 8, 2020, the SEC proposed an Order to improve the governance of National Market System Plans over public consolidated equity market data and the dissemination of trade and quote data.
Cadwalader, Wickersham & Taft LLP
A broker-dealer settled FINRA charges for failing to test its supervisory controls, policies and procedures, and for failing to document the test results in required certifications and reports.
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