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Results: 1-10 of 22,123

Broker-dealers required to take steps to safeguard online data and avoid expected SEC crackdown

  • Chadbourne & Parke LLP
  • -
  • USA
  • -
  • April 23 2014

The SEC's Office of Compliance Inspections and Examinations (OCIE), which is responsible for conducting inspections and examinations of investment

SEC provides guidance on tweeting

  • Duane Morris LLP
  • -
  • USA
  • -
  • April 22 2014

On April 21, 2014, the Division of Corporate Finance of the Securities and Exchange Commission issued two new Compliance and Disclosure

Recommendations of the SEC’s Investor Advisory Committee regarding crowdfunding rules

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • April 22 2014

On April 10, 2014, the Investor Advisory Committee (the "IAC") of the Securities and Exchange Commission (the "SEC") held a meeting during which it

Cybersecurity: SEC is starting to scrutinize registrants’ practices

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • April 22 2014

The SEC plans to examine the cybersecurity practices of over 50 registered broker-dealers and investment advisers. The SEC announced its plan in an

What’s driving the strong U.S. IPO market? A look at the JOBS Act at its second anniversary in light of the increased IPO volume

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • April 22 2014

The Jumpstart Our Business Startups Act (the "JOBS Act"), designed to stimulate IPO activity in the U.S. is celebrating its second anniversary this

D.C. Circuit Court of Appeals issues ruling on conflict minerals

  • Drinker Biddle & Reath LLP
  • -
  • USA
  • -
  • April 22 2014

On April 14, 2014, the U.S. Court of Appeals for the District of Columbia Circuit issued its opinion in the conflicts minerals case, National

SOX whistleblower protections extended to employees of certain privately held companies

  • Fredrikson & Byron PA
  • -
  • USA
  • -
  • April 22 2014

In 2002, Congress passed the Sarbanes-Oxley Act of 2002 (SOX) following the collapse of Enron Corporation. Among other things, SOX provides

Appellate Court finds SEC conflict minerals rule violates First Amendment

  • Thompson Hine LLP
  • -
  • USA
  • -
  • April 22 2014

On April 14, 2014, a three-judge panel of the U.S. Court of Appeals for the District of Columbia Circuit (DC Circuit) issued its much-anticipated

SEC staff to conduct broker-dealer and investment adviser examinations focused on cybersecurity

  • Dechert LLP
  • -
  • USA
  • -
  • April 22 2014

The Securities and Exchange Commission's (the "SEC" or the "Commission") Office of Compliance Inspections and Examinations ("OCIE") announced in an

US Court of Appeals strikes portion of conflict mineral regime as unconstitutional, upholds other portions of SEC rule

  • Steptoe & Johnson LLP
  • -
  • USA
  • -
  • April 22 2014

On April 14, 2014, the United States Court of Appeals for the District of Columbia Circuit (the Court) issued a highly anticipated decision