News & Analysis as of

Penalties Board of Directors

Bilzin Sumberg

Rounding Up HB 1021’s Impact on Florida Condominiums

Bilzin Sumberg on

CS/CS/CS/HB 1021 (“HB 1021”) covers many topics, including the statutory recognition of condominiums in vertical subdivisions and condominium building safety measures. However, the legislation is also a reaction to a slew of...more

Seward & Kissel LLP

SEC Charges 11 Firms with Widespread Recordkeeping Failures

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Who may be interested: Registered Investment Advisers, Broker-Dealers, Registered Investment Companies, Boards of Directors - Quick Take: The SEC recently settled charges against ten broker-dealers and one dually...more

Amundsen Davis LLC

Proposed Amendment to Illinois Law Could Impact Corporate Pocketbooks

Amundsen Davis LLC on

In the past few years, a law was passed in Illinois that added annual reporting requirements for publicly held companies with their headquarters in Illinois. The requirements of that law included reporting the following on a...more

McDermott Will & Emery

California AB 979 Mandates Board Composition for Public Companies

McDermott Will & Emery on

California AB 979 took effect Wednesday, September 30, and requires public companies domiciled or headquartered in California to have at least one director from an underrepresented community by the end of 2021. Such companies...more

Fisher Phillips

Your Comprehensive Guide to 2018 Proposed California Legislation

Fisher Phillips on

February 16 was the deadline to introduce new bills in the California Legislature. By that date, nearly 2,200 bills were introduced. While that may seem like a staggering amount of legislative proposals (especially for a...more

Dorsey & Whitney LLP

This Week In Securities Litigation

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The SEC prevailed on two summary judgment motions. One centered on a manipulation action. The other was against an attorney who facilitated a prime bank fraud. The Commission also filed: An action against UBS tied to its...more

Foley & Lardner LLP

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on

Non-Enforcement - Form PF — What Purpose? SEC registered investment advisers with at least $150 million of assets under management in private funds are required to periodically file Form PF with the SEC. The...more

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