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Results: 1-10 of 3,493

SEC Seeks Views on Whether Proposal for Single Consolidated Audit Trail of All Equity and Equity Options Trading Is CAT’s Meow
  • Katten Muchin Rosenman LLP
  • USA
  • May 1 2016

The Securities and Exchange Commission voted to publish a plan to create a single consolidated audit trail (CAT) to track all equities and options


GAO Criticizes SEC Cybersecurity Controls
  • Katten Muchin Rosenman LLP
  • USA
  • May 1 2016

The General Accountability Office said weaknesses remain in the way the Securities and Exchange Commission maintains security over its financial


Calm Before the Storm: Financial Institutions Should Expect a Wave of Civil and Criminal Investigations Following the Next Panama Papers Release
  • Paul Hastings LLP
  • USA
  • April 29 2016

On April 3, 2016, the International Consortium of Investigative Journalists (“ICIJ”) reported one of the largest data leaks in history. With


Public Mining of Securities Regulatory Big Data
  • Burr & Forman LLP
  • USA
  • April 27 2016

An article in this weekend’s Wall Street Journal called for FINRA to make the database underlying its BrokerCheck system (of reports on stockbroker


Cybersecurity Compliance Just Got Tougher: Companies need specific, well-executed plans to meet growing demands of federal and state agencies
  • Dorsey & Whitney LLP
  • USA
  • April 27 2016

While cybersecurity risks have increased, government regulation has traditionally lagged behind. Recently, some government entities have tried to


Securities Exchange Commission Votes to Publish Consolidated Audit Trail Plan for Public Comment
  • Steptoe & Johnson LLP
  • USA
  • April 27 2016

Today, the Securities and Exchange Commission (SEC) unanimously voted in favor of publishing a proposed national market system (NMS) plan to create


Companies need specific, well-executed plans to meet growing demands of federal and state agencies
  • Gardere
  • USA
  • April 21 2016

While cybersecurity risks have increased, government regulation has traditionally lagged behind. Recently, some government entities have tried to


International Regulatory Update 11 - 15 April 2016
  • Clifford Chance LLP
  • Netherlands, United Kingdom, USA, European Union, Global, Hong Kong, Luxembourg
  • April 19 2016

The EU Parliament Plenary session has adopted the EU data protection reform package, which comprises the General Data Protection Regulation (GDPR


New SEC fee calculator!
  • Sullivan & Worcester LLP
  • USA
  • April 19 2016

Not that it was all that difficult to begin with, but the SEC has released an online tool to help companies calculate registration fees for certain


FinTech and Marketplace Lenders Under Scrutiny
  • Venable LLP
  • USA
  • April 14 2016

FinTech and marketplace lenders are fast realizing that the Consumer Financial Protection Bureau (CFPB), Federal Trade Commission (FTC), and even