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Bryan Cave Leighton Paisner LLP
After years of warning firms of the need for enhanced diligence in retaining or hiring brokers with a significant history of misconduct
Seyfarth Shaw LLP
This article is not about "who did what wrong" or "what nation-state commenced this attack." It's really more about is, "if I am a Director, what should I be thinking about the SolarWinds attack?"...
Cadwalader, Wickersham & Taft LLP
DDR intends to function as a registered SBSDR covering equity and debt security credit derivatives transactions.
Bryan Cave Leighton Paisner LLP
FINRA recently filed a Complaint against a Chief Executive Officer and Chief Compliance Officer of a registered broker-dealer alleging, among other things, that the individual
Cadwalader, Wickersham & Taft LLP
The comment deadline for the proposal is June 7, 2021.
Mintz
PBCs are gaining mainstream acceptance as societies and markets increasingly insist that corporations generate positive social impact alongside profits.
Bryan Cave Leighton Paisner LLP
SEC Chair Gary Gensler testified yesterday before the House Committee on Financial Services about the SEC's efforts to assess and address the market volatility that occurred in GameStop...
McGuireWoods LLP
On March 3, 2021, the Securities and Exchange Commission's Division of Examinations (EXAMS) (formerly the Office of Compliance Inspections and Examinations (OCIE) released its 2021 examination...
Cadwalader, Wickersham & Taft LLP
The U.S. House Financial Services Committee considered proposed legislation in response to the GameStop and Archegos trading events.
Mayer Brown
Today, for the first time as Chair of the Securities and Exchange Commission, Gary Gensler appeared before Congress to provide testimony regarding the market disruptions and volatility witnessed...
Cooley LLP
In February, then-Acting SEC Chair Allison Lee directed the staff of Corp Fin, in connection with the disclosure review process, to "enhance its focus on climate-related disclosure...
Milbank LLP
Podcast episode with Milbank partners Allan Marks, Rod Miller and Iliana Ongun.
Proskauer Rose LLP
On May 5, 2021, another federal district court, this time for the Northern District of California, permitted the IRS to proceed with a John Doe summons very similar to the one served on Circle last month (the subject of a recent post)
Proskauer Rose LLP
On March 29, 2021, the U.S. District Court for the Eastern District of Pennsylvania granted a defendant-employer's motion for summary judgment on a SOX whistleblower retaliation claim...
Miller Friel
As several companies have learned the hard way over the past few months, many things can result from having a presence on social media — and a lot of them aren't good for business.
Bryan Cave Leighton Paisner LLP
Special purpose acquisition companies ("SPACs"), it seems, are everywhere. SPACs have been around for decades
Bryan Cave Leighton Paisner LLP
The House Committee on Financial Services met virtually on April 20, 2021 to consider legislation that, among other things
Cadwalader, Wickersham & Taft LLP
The SEC stated that the company's failure to disclose the effect of its pull-forward practice on future revenue "rendered statements it made misleading."
Bryan Cave Leighton Paisner LLP
Last week the Staff of the Division of Corporation Finance issued a statement addressing a variety of accounting, financial reporting and governance issues...
Sheppard Mullin Richter & Hampton
In Ford v. TD Ameritrade Holding Corp., 2021 U.S. App. LEXIS 12008 (8th Cir. Apr. 23, 2021), the United States Court of Appeals for the Eighth Circuit...
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