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1
Eastern District of Pennsylvania Grants Summary Judgment On SOX Claim
On July 18, 2019, the U.S. District Court for the Eastern District of Pennsylvania granted a defendant-employer's motion for summary judgment on a SOX whistleblower retaliation claim
United States
9 Aug 2019
2
Broker-Dealer Beat - August 2019
Financial services firms, like other businesses, must address employees' requests for more flexible work arrangements, including working from home.
United States
8 Aug 2019
3
Hypothetical Risk Factors Pose A Real Risk
On July 24, 2019, the Securities and Exchange Commission (the "SEC") announced charges against Facebook Inc. ("Facebook")
United States
2 Aug 2019
4
Whistleblower Challenges Delayed Bounty Award
In a petition for a writ of mandamus filed on April 29, 2019 with the U.S. Court of Appeals for the D.C. Circuit, an unidentified whistleblower who claims to have tipped the SEC to alleged violations
United States
31 Jul 2019
5
Millennium: Are Syndicated Loans Securities?
In litigation related to the Millennium bankruptcy, the trustee for the bankruptcy's litigation trust sued the agent banks that underwrote a $1.75 billion dollar loan to Millennium
United States
24 Jul 2019
6
SEC Qualifies Blockstack And YouNow Regulation A Offerings
On July 10, the Securities and Exchange Commission (the "SEC") qualified Blockstack PBC's ("Blockstack's") offering circular, enabling Blockstack to commence sales and distribution of up to $40 million worth of its Stacks Tokens ("Stacks") under Regulation A.
United States
22 Jul 2019
7
SEC Adopts Amendments To Auditor Independence Rules Addressing Lending Relationships
On June 18, 2019, the Securities and Exchange Commission (the "SEC") adopted amendments to Rule 2-01 of Regulation S-X
United States
12 Jul 2019
8
SEC Announces New Approach To Disqualification Waivers
On July 3, 2019, SEC Chairman Jay Clayton issued a "Statement Regarding Offers of Settlement" (the "Statement"), announcing important changes to how the SEC will consider future requests for waivers from disqualifications...
United States
11 Jul 2019
9
As Bitcoin's Price Moves Dramatically, ETF Proposals Remain At A Standstill
On June 26, the price of bitcoin surged to a 12-month high of nearly $13,900 (up about 35% on the month) before losing more than $1,700 in a span of 15 minutes
United States
9 Jul 2019
10
SEC Fines Fund Manager $5 Million Over Undervaluation Of Assets
A recent action where the SEC focused on the presumably conservative undervaluation of assets suggests that it is more than willing to use valuation as a hook to deter "smoothing" of returns
United States
9 Jul 2019
11
SEC Proposes Rule Changes With Potential Benefits For Reits, Funds, And Business Development Companies
The Securities and Exchange Commission ("SEC" or "Commission") recently proposed a number of changes to Regulation S-X
United States
4 Jul 2019
12
SEC Awards Joint Whistleblowers $3 Million Even Though Information Was Not Voluntarily Given
On June 3, 2019, the SEC's Office of the Whistleblower announced a $3 million award to two whistleblowers who provided the SEC with information that led it to investigate
United States
1 Jul 2019
13
SEC Sues Kik For ICO
On June 4, 2019, the U.S. Securities and Exchange Commission (the "SEC") filed a complaint in the Southern District of New York against Kik Interactive Inc. ("Kik") alleging violations of Section 5 of the Securities Act of 1933 (the "Securities Act").
United States
26 Jun 2019
14
Rule 105 Of Regulation M And Tender Offer Rules
Rule 105 of Regulation M may create more anxiety among compliance professionals in the hedge fund industry than any other SEC rule.
United States
25 Jun 2019
15
Broker-Dealer And Investment Adviser Standards Of Conduct - SEC Adopts Rules And Interpretations
On June 5, 2019, the Securities and Exchange Commission voted to adopt a package of rulemakings and interpretations, including (i) a new rule creating a standard of conduct for broker-dealers when recommending securities to retail investors (Regulation Best Interest),...
United States
24 Jun 2019
16
Rocky Mountain Securities Conference: A Review Of Enforcement
The SEC, in conjunction with the Colorado Bar Association and Colorado Society of Certified Public Accountants,
United States
21 Jun 2019
17
House Financial Services Committee Passes Bill To Expand Dodd-Frank Whistleblower Protection To Internal Whistleblowers
On May 8, 2019, the House Committee on Financial Services passed H.R. 2515, the Whistleblower Protection Reform Act of 2019.
United States
13 Jun 2019
18
[Podcast]: Key Contractual Provisions For Employers To Incorporate In Documents With Confidentiality Covenants
In this episode of The Proskauer Brief, Kate Napalkova, special employee benefits and executive compensation counsel, and associate
United States
12 Jun 2019
19
SEC Awards Whistleblower More Than $4.5 Million
On May 24, 2019, the SEC announced payment of more than $4.5 million to a whistleblower who sent an anonymous tip to the company alleging significant wrongdoing and then submitted
United States
10 Jun 2019
20
DC Circuit Opinion Reaffirms Fiduciary And Disclosure Obligations Of Advisers While Rejecting SEC Finding Of "Willful" Violations
The DC Circuit recently released an opinion addressing the SEC's administrative findings against registered investment adviser The Robare Group (TRG)
United States
28 May 2019
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