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2016 SEC Exam Priorities
  • Greenberg Traurig LLP
  • USA
  • February 10 2016

On Jan. 11, 2016, the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) released its


SEC and FINRA Name EB-5 as a Priority in 2016
  • Greenberg Traurig LLP
  • USA
  • January 21 2016

Earlier this month, the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) each published their


Study Shows Dramatic Rise in the SEC’s Use of its Administrative Court for Enforcement Actions
  • Greenberg Traurig LLP
  • USA
  • January 15 2016

The NYU Pollack Center for Law and Business and Cornerstone Research recently released a study entitled "SEC Enforcement Activity Against Public


SEC’s Office of Compliance Inspections and Examinations Releases Annual Examination Priorities
  • Greenberg Traurig LLP
  • USA
  • January 12 2016

On Jan. 11, 2016, the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) issued its annual


FINRA Set to Emphasize ‘Firm Culture’ and Ethics as Exam Priorities in 2016
  • Greenberg Traurig LLP
  • USA
  • January 8 2016

FINRA recently released its 2016 Regulatory and Examination Priorities Letter, an annual event which serves to highlight both emerging and existing


Hitachi settlements highlight importance of anticorruption compliance programs and cooperation with regulators
  • Greenberg Traurig LLP
  • USA
  • January 4 2016

On December 4, 2015, the African Development Bank Group (AfDB) announced that it reached an agreement with Hitachi, Ltd. (Hitachi) that debars the


While You Were SleepingNew Highway Act Improves the Capital Raising On-Ramp
  • Greenberg Traurig LLP
  • USA
  • December 30 2015

On Dec. 4, 2015, President Obama signed into law the Fixing America's Surface Transportation Act, referred to as the "Fast Act," a highway and


FINRA and MSRB Propose New Pay-to-Play Restrictions on Broker-Dealer Solicitors and Municipal Advisors; Rules Will Trigger SEC Investment Advisor Third-Party Solicitation Ban
  • Greenberg Traurig LLP
  • USA
  • December 24 2015

On Dec. 16, 2015, the Financial Industry Regulatory Authority (FINRA) and Municipal Securities Rulemaking Board (MSRB) simultaneously filed with the


First Circuit Offers Rebuke to SEC in Vacating Sanctions Order
  • Greenberg Traurig LLP
  • USA
  • December 24 2015

The U.S. Court of Appeals for the First Circuit recently overturned an order by the U.S. Securities and Exchange Commission (Commission) in which the


How the SEC Proposed New Derivatives Rules Affect Registered Funds and Business Development Companies
  • Greenberg Traurig LLP
  • USA
  • December 18 2015

On Dec. 11, 2015, the SEC proposed new derivatives rules for registered funds and business development companies. The proposed rules set limits on