SEC

The Other Securities Regulator: A Case Study in Regulatory Damage

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Posted by Anita K. Krug, University of Washington School of Law, on Wednesday, June 14, 2017
Editor's Note: Anita K. Krug is D. Wayne and Anne Gittinger Professor of Law at the University of Washington School of Law. This post is based on a recent article by Professor Krug, forthcoming in the Tulane Law Review.

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The CEO Pay Ratio Beyond Dodd Frank: Live and Local

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Posted by Jon Weinstein and Blaine Martin, Pay Governance LLC, on Tuesday, June 13, 2017
Editor's Note: Jon Weinstein is a Managing Partner and Blaine Martin is Consultant at Pay Governance LLC. This post is based on a Pay Governance publication.

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Five-Year Statute of Limitations Applies to Claims for Disgorgement Brought by the SEC

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Posted by Brad S. Karp, Paul, Weiss, Rifkind, Wharton & Garrison LLP, on Monday, June 12, 2017

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Perk Disclosures: Reminders for Executives and Directors

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Posted by Ade Heyliger and Kaitlin Descovich, Weil, Gotshal & Manges LLP, on Saturday, June 10, 2017
Editor's Note: Ade Heyliger is a partner and Kaitlin Descovich is an associate at Weil, Gotshal & Manges LLP. This post is based on a Weil publication.

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Supreme Court Applies Five-Year Statute of Limitations to SEC Disgorgement Claims

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Posted by Lewis J. Liman and Matthew C. Solomon, Cleary Gottlieb Steen & Hamilton LLP, on Wednesday, June 7, 2017

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Compliance Officers: Uniform CFTC and SEC Rules?

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What possible difference could a few words make? Apparently a lot for chief compliance officers of large swap dealers, fund managers, and clearing firms. They must be breathing a sigh of relief now that the Commodity Futures Trading Commission has proposed to harmonize the rules for CCOs with those of the Securities and Exchange Commission. […]

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US Broker Pushes SEC to Make Blockchain Rules

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US financial firms, concerned about how to implement blockchain technology without running afoul of future regulations, might soon find some long overdue guidance from the Securities and Exchange Commission. The US regulatory agency has been called to action by Ouisa Capital, a New York broker-dealer that operates an alternative trading system (ATS) for trading unregistered securities. […]

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2017 M&A Report

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Posted by Mick Bain and Lia Der Marderosian, Wilmer Cutler Pickering Hale and Dorr LLP, on Thursday, June 1, 2017

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Proxies and Databases in Financial Misconduct Research

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Posted by Jonathan Karpoff, University of Washington, on Thursday, June 1, 2017

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Cybersecurity Must Be High on the Board Agenda

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Posted by David A. Katz and Laura A. McIntosh, Wachtell Lipton Rosen & Katz, on Tuesday, May 30, 2017
Editor's Note: David A. Katz is a partner and Laura A. McIntosh is a consulting attorney at Wachtell, Lipton, Rosen & Katz. This post is based on a Wachtell Lipton publication by Mr. Katz and Ms. McIntosh.

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