Current filters:  
USA
Commercial
Securities
United States
Akin Gump Strauss Hauer & Feld LLP
Last week, the Securities and Exchange Commission imposed expanded privacy and cybersecurity obligations on fund managers and sponsors registered with the SEC as investment advisers.
Kohn, Kohn & Colapinto, LLP
On March 14, the U.S. Securities and Exchange Commission (SEC) announced charges against 17 individuals allegedly involved in a $300 million crypto asset Ponzi scheme...
Kohn, Kohn & Colapinto, LLP
Reporting from Bloomberg details recent requests sent to major banks by the U.S. Commodity Futures Trading Commission (CFTC) seeking non-disclosure agreements...
Mayer Brown
On May 15, 2024, the US Securities and Exchange Commission ("SEC") adopted amendments (the "Amendments") to Regulation S-P under the Securities Exchange Act of 1934 (the "Exchange Act")...
Mintz
With environmental, social, and governance (ESG) principles garnering increased attention in corporate circles in recent years, there has been an accompanying rise in demand for analytical...
Lowenstein Sandler
On May 13, the Securities and Exchange Commission (SEC) and the U.S. Department of the Treasury's Financial Crimes Enforcement Network (FinCEN) released a joint notice of a proposed...
Goodwin Procter LLP
On November 2, 2022, the U.S. Securities and Exchange Commission (SEC) announced the adoption of amendments to Form N-PX and related rules to extend public company stockholder...
Frost Brown Todd
California's S.B. 253 and 261 as well as the SEC's Final Rule for the Enhancement and Standardization of Climate-Related Disclosures for Investors (Final Rule) face significant legal challenges from business...
Frankfurt Kurnit Klein & Selz
On May 15, 2024, the Securities and Exchange Commission (SEC) finalized amendments to Regulation S-P, the primary regulation governing the privacy and confidentiality of consumer financial information...
Kohn, Kohn & Colapinto, LLP
On September 23, 2020, the U.S. Securities and Exchange Commission (SEC) issued its final rules adopting several amendments to its whistleblower program rules, which were part of its 2018 notice of proposed rulemaking.
Kohn, Kohn & Colapinto, LLP
According to the Institute of Internal Auditors "Politics of Internal Auditing" (2015), 55% of chief audit executives were directed to commit important findings from their audit reports.
Kohn, Kohn & Colapinto, LLP
Both the Organisation for Economic Co-operation and Development (OECD) and the U.S. Strategy on Countering Corruption recognize that the news media plays a vital role in the detection of bribery...
Katten Muchin Rosenman LLP
n a follow-up to our summary of the SEC's new private fund adviser rule, Katten attorneys share their views on implementation questions related to a variety of new requirements applicable to advisers to private funds.
Katten Muchin Rosenman LLP
In June of 2023, Northbrook, Illinois-based Pinstripes Inc., which at the time had 13 locations in eight states and Washington, DC, announced plans to go public with a large-scale expansion of its experiential dining and entertainment brand combining bistro, bowling, bocce and private event space.
Goodwin Procter LLP
On May 13, 2024, the Financial Crimes Enforcement Network (FinCEN), a bureau within the U.S. Treasury Department, and the Securities and Exchange Commission (SEC) proposed a joint rule (the Proposed Rule) with respect to a customer identification program.
Jenner & Block
In a sequel to FinCEN's proposal earlier this year to extend anti-money laundering and Bank Secrecy Act regulations to investment advisers (AML/BSA Proposal), on May 13, 2024, FinCEN and the SEC jointly issued a new Notice of Proposed Rule Making.
Foley & Lardner
Brian Lucareli, director of Foley Private Client Services (PCS) and co-chair of Foley's Family Offices group, sits down with Bryan House, partner and member of our Securities Enforcement & Litigation...
Carter Ledyard & Milburn
On Jan. 24, 2024, the Securities and Exchange Commission (the "SEC") adopted final rules to enhance disclosures and provide additional investor protections in initial public offerings (IPOs) for special...
Greenberg Traurig, LLP
On May 8, 2024, Colorado's legislature enacted "An Act Concerning Consumer Protections in Interactions with Artificial Intelligence Systems", a state law that comprehensively regulates the use of certain "Artificial Intelligence" systems.
Katten Muchin Rosenman LLP
On May 13, the Securities and Exchange Commission (SEC) and the US Department of the Treasury's Financial Crimes Enforcement Network (FinCEN) jointly proposed...
FREE News Alerts
Sign Up for our free News Alerts - All the latest articles on your chosen topics condensed into a free bi-weekly email.
Popular Contributors
Upcoming Events
Mondaq Social Media