...stepping down as FINRA's enforcement chief...in Sidley's press release, Sullivan said Sidley...
Eliot Lauer, Jason Gottlieb and Alyssa Astiz of Curtis, Mallet-Prevost, Colt & Mosle examine some high-frequency trading strategies likely to be targeted in the coming wave of enforcement and litigat
In his Corporate Securities column, John C. Coffee Jr., the Adolf A. Berle Professor of Law at Columbia University Law School and Director of its Center on Corporate Governance, writes that if one tr
Bradley J. Bondi and Martin L. Seidel, partners at Cadwalader, Wickersham & Taft, along with Nathan Bull, an associate at the firm, write that the door may have been left open for claims brought in c
In her Securities Regulation column, Roberta S. Karmel of Brooklyn Law School writes: The JOBS Act seems to be an effort to pump hot air into social media and other start-ups by repealing some of the
Brian S. Fraser and Charles D. Thompson II of Richards Kibbe & Orbe discuss how the SEC's current review of disclosure requirements applicable to municipal securities is apparently insufficient, and
...new free-standing SRO or agree that the Financial Industry Regulatory Authority (FINRA) or a newly organized FINRA subsidiary be designated as such an SRO...
In his Executive Compensation column, Joseph E. Bachelder III, a partner in the Law Offices of Joseph E. Bachelder, discusses clawbacks under SOX, the Emergency Economic Stabilization Act of 2008, an
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