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Results: 1-10 of 52,087

D.C. Circuit Opinions Call into Question FINRA’s Ability to Impose “Capital Punishment” on the Securities Industry
  • K&L Gates
  • USA
  • October 20 2017

A Pair of D.C. Circuit Opinions Raise the Question of Whether the Supreme Court's Recent Kokesh Decision Means that Orders of Expulsion, Bar, or


Digital Realty Trust Appeal Over “Whistleblower” Definition Commences Before the U.S. Supreme Court
  • Foley & Lardner LLP
  • USA
  • October 19 2017

As we reported in our last newsletter, the U.S. Supreme Court agreed to review and resolve the circuit split concerning whether the Dodd-Frank Act


SEC Proposes Modernization and Simplification of Regulation S-K
  • Jones Day
  • USA
  • October 19 2017

In an effort to reduce compliance and cost burdens, the SEC has proposed amendments to some of the rules and forms associated with Regulation S-K


(Crypto)tokens and Initial Coin Offerings - Croatian Legal Framework
  • Schoenherr
  • USA
  • October 19 2017

An ICO or Initial Coin Offering is a new disruptive crowdfunding mechanism where a backer of a project founded on a blockchain technology receives an


Ninth Circuit Court of Appeals Affirms Summary Judgment in Favor of Company on Would-Be Whistleblower’s Retaliation Claim
  • Foley & Lardner LLP
  • USA
  • October 19 2017

Earlier this year, a panel of the Ninth Circuit Court of Appeals affirmed a summary judgment in favor of an employer on a former employee's


Update on Clawback Policy Issues
  • Winston & Strawn LLP
  • USA
  • October 19 2017

Live from Washington, D.C. it’s Melbinger's Compensation Blog! We’re here at the 25th Annual NASPP Conference and the 14th Annual Executive


SEC Proposes Streamlining Disclosure Requirements
  • Shearman & Sterling LLP
  • USA
  • October 19 2017

On October 11, 2017, the Securities and Exchange Commission (SEC) proposed amendments to Regulation S-K designed to simplify and streamline


SEC Addresses CABs in the Pay-to-Play Rules
  • Venable LLP
  • USA
  • October 19 2017

The SEC's pay-to-play rule has a wide reach to prevent investment advisers from giving contributions, directly or indirectly, to elected


Description of the Small Business Investment Company Program Participation by Unleveraged Funds
  • Pepper Hamilton LLP
  • USA
  • October 19 2017

A Small Business Investment Company (SBIC) is a privately owned and operated company that makes long-term investments in American small businesses and


Government Employee Whistleblower Receives More than $2 Million for Information and Investigation Assistance
  • Foley & Lardner LLP
  • USA
  • October 19 2017

On July 25, 2017, the U.S. Securities and Exchange Commission (SEC) announced it was awarding nearly $2.5 million to a government employee who tipped