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January 23, 2017
Responding to New Derivative Documentation Requests from Dealers
January 20, 2017
Annual Regulatory Reminders (2017)
January 18, 2017
OCIE Multi-Branch Adviser Initiative Risk Alert
January 17, 2017
OCIE Releases Its 2017 Examination Priorities
January 16, 2017
Employment Law Alert: Sexual Harassment and Discrimination in the Workplace
January 12, 2017
TIC Form BC Filing Deadline Approaching
December 28, 2016
Recent guidance on enforcement of Section 871(m) withholding
December 19, 2016
Cliffs Natural Decision Offers Some Clarity Post-Marblegate to Issuers Planning Exchange Offers
December 19, 2016
Partners Ted Horton and Anthony Tu-Sekine and Associate Keith Billotti co-authored an article in Financier Worldwide titled, “Innovative Approaches to Cross-Listings.”
December 2016
Compliance Flash – December 2016
December 8, 2016
CFTC Annual Affirmations
December 7, 2016
U.S. Supreme Court Sides with Prosecutors and Partially Overrules Second Circuit Standard That Made It Harder to Prosecute Insider Trading
Fall 2016
Bankruptcy & Reorganization Report – Fall 2016
November 21, 2016
FDIC Adopts Final Rule on Recordkeeping for Timely Deposit Insurance Determination
November 18, 2016
Third Circuit Court of Appeals Revives EFIH Noteholder Make-Whole Claims
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