Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights November 12, 2010 Client Update CFTC Proposes Swap Dealer and Major Swap Participant Rules At an open meeting on November 10, the CFTC proposed four rules regarding regulation of, and registration requirements for... November 5, 2010 Client Update SEC Limits Direct Market Access On November 3, 2010, the SEC adopted Rule 15c3-5, which effectively prohibits “naked access” to the securities markets... November 5, 2010 Client Update SEC Limits Direct Market Access On November 3, 2010, the SEC adopted Rule 15c3-5, which effectively prohibits “naked access” to the securities markets... November 4, 2010 Client Update SEC Proposes Whistleblower Rules Yesterday the SEC announced and issued proposed rules that would implement the whistleblower provisions of the Dodd-Frank ... November 3, 2010 Client Update MSRB Extends Application of Its Rules and Registration to Municipal Advisors The MSRB filed on November 1, 2010 several proposed rule changes with the SEC that will require municipal advisors, as def... November 3, 2010 Client Update MSRB Extends Application of Its Rules and Registration to Municipal Advisors The MSRB filed on November 1, 2010 several proposed rule changes with the SEC that will require municipal advisors, as def... October 27, 2010 Client Update Proposed Loss Contingency Standard will not Apply to Calendar Year-end Filers' 2010 Form 10-Ks At its open meeting today, the FASB advised that calendar year-end companies will not be required to comply with the FASB?... October 21, 2010 Client Update Reg FD Enforcement Update: the Perils of Implied Messages The SEC today announced settled Reg FD charges against Office Depot and its CEO and former CFO related to “signals” th... October 21, 2010 Client Update Reg FD Enforcement Update: the Perils of Implied Messages The SEC today announced settled Reg FD charges against Office Depot and its CEO and former CFO related to “signals” th... October 20, 2010 Client Update SEC Proposes Say-on-Pay Rules for Companies and Proxy Vote Reporting Rules for Investment Managers On October 18, 2010, the SEC proposed rules to implement the provisions of the Dodd-Frank Wall Street Reform and Consumer ... Load More
November 12, 2010 Client Update CFTC Proposes Swap Dealer and Major Swap Participant Rules At an open meeting on November 10, the CFTC proposed four rules regarding regulation of, and registration requirements for...
November 5, 2010 Client Update SEC Limits Direct Market Access On November 3, 2010, the SEC adopted Rule 15c3-5, which effectively prohibits “naked access” to the securities markets...
November 5, 2010 Client Update SEC Limits Direct Market Access On November 3, 2010, the SEC adopted Rule 15c3-5, which effectively prohibits “naked access” to the securities markets...
November 4, 2010 Client Update SEC Proposes Whistleblower Rules Yesterday the SEC announced and issued proposed rules that would implement the whistleblower provisions of the Dodd-Frank ...
November 3, 2010 Client Update MSRB Extends Application of Its Rules and Registration to Municipal Advisors The MSRB filed on November 1, 2010 several proposed rule changes with the SEC that will require municipal advisors, as def...
November 3, 2010 Client Update MSRB Extends Application of Its Rules and Registration to Municipal Advisors The MSRB filed on November 1, 2010 several proposed rule changes with the SEC that will require municipal advisors, as def...
October 27, 2010 Client Update Proposed Loss Contingency Standard will not Apply to Calendar Year-end Filers' 2010 Form 10-Ks At its open meeting today, the FASB advised that calendar year-end companies will not be required to comply with the FASB?...
October 21, 2010 Client Update Reg FD Enforcement Update: the Perils of Implied Messages The SEC today announced settled Reg FD charges against Office Depot and its CEO and former CFO related to “signals” th...
October 21, 2010 Client Update Reg FD Enforcement Update: the Perils of Implied Messages The SEC today announced settled Reg FD charges against Office Depot and its CEO and former CFO related to “signals” th...
October 20, 2010 Client Update SEC Proposes Say-on-Pay Rules for Companies and Proxy Vote Reporting Rules for Investment Managers On October 18, 2010, the SEC proposed rules to implement the provisions of the Dodd-Frank Wall Street Reform and Consumer ...