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Bryan Cave Leighton Paisner LLP
Garcia Case Highlights Necessity of Knowing Your Customer and Listening to Internal Fraud Watchdogs.
Cadwalader, Wickersham & Taft LLP
SEC report on GameStop questions adequacy of trading regulations.
Arnold & Porter
The Securities and Exchange Commission has opened a broad inquiry into how Wall Street banks are keeping track of employees' digital communications, according to an October 11, 2021 Reuters report.
Gamma Law
Rapper Jay-Z's legal beef with record executive Damon Dash entangles old-school creativity and newfangled technology, providing lessons for performers, promoters, developers, and anyone else involved in the arts world.
Arnold & Porter
As described in a previous post, significant discovery disputes in this action have been decided in Ripple's favor.
Fenwick & West LLP
On October 13, 2021, the U.S. Securities and Exchange Commission adopted final rules that amend several fee-bearing forms, schedules, statements and related rules to modernize filing fee disclosure and...
Cooley LLP
In a virtual "fireside chat"—there was a fireplace but no fire—hosted by NYU law, SEC Chair Gary Gensler was interviewed by former SEC Commissioner and current NYU professor Robert Jackson.
Cadwalader, Wickersham & Taft LLP
In a new report, the SEC reviewed regulatory issues involving GameStop trading in January 2021.
Cadwalader, Wickersham & Taft LLP
The SEC published in the Federal Register FINRA's proposal to extend the pilot period under FINRA Rule 6121.02 from October 18, 2021, to March 18, 2022.
Proskauer Rose LLP
On October 12, 2021, the Fifth Circuit Court of Appeals upheld a disgorgement order issued by the SEC, in—according to the opinion— the first appellate ruling on the topic since the Supreme Court's 2020 decision in Liu v. SEC.
Winston & Strawn LLP
Last week, the federal government took another step toward considering the greenhouse gas emissions of suppliers when deciding major Federal agency procurements.
Jenner & Block
Recent cybersecurity events have tested the cybersecurity defenses of many of America's largest public companies and given rise to private class actions and insider trading cases.
Bryan Cave Leighton Paisner LLP
A major U.S. cryptocurrency exchange recently disclosed its receipt of a Wells Notice from the SEC, which threatened charges for violating Section 5 of the Securities Act in connection...
Mayer Brown
An insider's perspective from former Department of Justice (DOJ) and Federal Bureau of Investigation staff about how the US government gathers evidence abroad.
Cadwalader, Wickersham & Taft LLP
Comments on the proposed amendments must be submitted by December 14, 2021.
Cadwalader, Wickersham & Taft LLP
FINRA provided member firms with a calendar schedule to assist firms with required filing submissions in connection with extensions of time around holidays when exchanges or banks are closed.
Mayer Brown
This past summer's string of cyber enforcement actions signals that cybersecurity has become a top priority for the US Securities and Exchange Commission (SEC).
Cadwalader, Wickersham & Taft LLP
The SEC Division of Corporation Finance granted no-action relief from SEA Rule 14e-5 ("Prohibiting Purchases Outside of a Tender Offer") requirements to an exchange-traded fund ("ETF").
Cadwalader, Wickersham & Taft LLP
FINRA proposed extending a pilot program that governs the review of "clearly erroneous transactions" in exchange-listed securities under FINRA Rule 11892.
Cadwalader, Wickersham & Taft LLP
The MSRB requested comment on draft compliance resources to assist regulated entities in their supervision over new issue pricing of municipal securities.
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