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Results: 1-10 of 24,329

SEC approves supervision & compliance rule for municipal advisors

  • Burr & Forman LLP
  • -
  • USA
  • -
  • October 29 2014

The SEC last week approved new MSRB Rule G-44 implementing supervision and compliance requirements for municipal advisors. The MSRB touted the Rule

FINRA reminds employers that employees can communicate with FINRA and employers need to let them know!

  • Epstein Becker Green
  • -
  • USA
  • -
  • October 29 2014

FINRA just issued a reminder regarding its views on confidentiality provisions and confidentiality stipulations

Providing audited financial statements late leads to charges of custody rule violations

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • October 29 2014

The SEC announced charges against an investment advisory firm and three of its top officials for violating the "custody rule" that requires firms to

SEC brings custody rule enforcement

  • Pillsbury Winthrop Shaw Pittman LLP
  • -
  • USA
  • -
  • October 29 2014

On October 29, 2014, the Securities and Exchange Commission ("SEC") announced an administrative enforcement action against an investment advisory

How to respond to SEC inquiries concerning data breach and data security policies

  • Baker & Hostetler LLP
  • -
  • USA
  • -
  • October 28 2014

Every company, whether public or private, has exposure to potential data breach or theft of confidential information. When this occurs, various state

Another constitutional challenge to SEC administrative forum

  • Burr & Forman LLP
  • -
  • USA
  • -
  • October 28 2014

The drumbeats of discontent grow louder against the SEC's more frequent use of its internal administrative forum for enforcement cases. I wrote about

SEC Municipalities Continuing Disclosure Cooperation Initiative: should a bond issuer self-report?

  • Miller Canfield PLC
  • -
  • USA
  • -
  • October 28 2014

Municipal securities issuers have the opportunity to self-report material misstatements in official statements regarding prior compliance with

SEC provides guidance on SPVs and escrows under the custody rule

  • Skadden Arps Slate Meagher & Flom LLP
  • -
  • USA
  • -
  • October 27 2014

In June, the SEC issued a Guidance Update on the application of the custody rule of the Investment Advisers Act of 1940 to special purpose vehicles

US Securities and Exchange Commission adopts amendments to Money Market Fund Rule (Rule 2a-7)

  • Mayer Brown LLP
  • -
  • USA
  • -
  • October 27 2014

On July 23, 2014, the US Securities and Exchange Commission ("SEC") by a 3-2 vote, adopted amendments to Rule 2a-7 under the Investment Company Act of

Gutting the loss causation requirement in securities class actions: 5th Circuit holds that insufficient partial disclosures may together sufficiently plead loss causation

  • Akin Gump Strauss Hauer & Feld LLP
  • -
  • USA
  • -
  • October 27 2014

Securities class action plaintiffs generally consider the conservative 5th Circuit to be shark infested waters for pursuing federal securities claims