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Department of Labor (DOL) Securities Fraud

SEC Compliance Consultants, Inc. (SEC³)

Regulatory Roundup for July 2024

SEC Loses in ALJ Case, DOL’s Latest Fiduciary Rule Put on Hold, and SEC Reconsiders AI and Custody Rule Proposals - Welcome to our July Regulatory Roundup, where we provide a quick look at the latest regulatory developments....more

Katten Muchin Rosenman LLP

ESG Guidepost | Issue 1

Welcome to the inaugural issue of Katten ESG Guidepost. Each month, ESG Guidepost will highlight the latest news, legal and regulatory developments involving environmental, social and governance matters. ...more

Stoel Rives LLP

In Case You Missed It - Interesting Items for Corporate Counsel - May 2018

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Pay equity advocates were undoubtedly disappointed that inaugural disclosure of the ratio of CEO pay to median employee pay fizzled. See, for example, here. CEO pay has, of course, been publicly disclosed forever; only the...more

Robins Kaplan LLP

Your Daily Dose of Financial News

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Markets are joining the American mid-Atlantic and East Coast in bracing for Hurricane Florence and the estimated $27 billion in damages it could bring with it....more

Robins Kaplan LLP

Your Daily Dose of Financial News

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Turns out the Fed’s plate isn’t just full of decisions surrounding interest rates. It’s got a massive portfolio of mortgage and Treasury securities that needs some serious tending, too....more

Robins Kaplan LLP

Your Daily Dose of Financial News

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Former NJ Senator and Governor Jon Corzine has reached a $5 million settlement with regulators over the collapse of his MF Global firm, which filed bankruptcy in 2011 and lost more than $1 billion in customer investments....more

Ballard Spahr LLP

Investment Management Update

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Investment Adviser AXA Wins Excessive Fee Trial - A federal judge in New Jersey has ruled in favor of AXA Equitable Life Insurance Company (AXA Equitable) and its wholly owned subsidiary, AXA Equitable Funds Management...more

Ballard Spahr LLP

Investment Management Update

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The Securities and Exchange Commission Adopts Amendments to Form ADV and Investment Adviser Act Rules - The Securities and Exchange Commission (SEC) adopted amendments to Form ADV and Investment Advisers Act of 1940...more

Littler

Sixth Circuit Changes Course on Proof Required to Show Protected Whistleblower Activity Under SOX

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The Sarbanes-Oxley Act (SOX) provides anti-retaliation protection to whistleblowers who engage in “protected activity.” To engage in protected activity under SOX, the whistleblower must provide information to the Securities...more

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