Issues

SEC adopts regulation systems compliance and integrity

James Burns; Georgia Bullitt; Howard Kramer; Jack Habert; James Doench
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Peer-to-peer lending platforms: securities law considerations

Robert H. Rosenblum; Susan A. Gault-Brown; Amy B. Caiazza
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FINRA proposes requiring registration of associated persons who develop algorithmic trading strategies

Janet M. Angstadt; Michael T. Foley; Ross Pazzol; James D. Van De Graaff
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Has the SEC become the “Whistleblower’s Advocate”?

Peter K.M. Chan; Amy J. Greer
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Editor’s letter

Henry A Davis
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SEC applies whistleblower protections to confidentiality agreements

Daniel Adams; Jennifer Chunias; Robert Hale; John Newell; William T. Goldberg
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Fiduciary duties of UK investment managers and conflicts: the arch financial products case

Winston Penhall
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US Supreme Court clarifies liability standard under Section 11 of the Securities Act of 1933 for statements of opinion in registration statements

Richard Parrino; Douglas Schwab; David Wertheimer
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Parties push to enforce statutory time limits on SEC enforcement actions

Benjamin Neaderland; Jared Cohen
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National Football League faces hedge fund manager fraud: implications for professional associations and investors from the case of international management associates

Majed Muhtaseb
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SEC permits abbreviated tender and exchange offers for non-convertible high-yield and investment-grade debt securities

Ian B. Blumenstein; J. Eric Maki; John T. Owen
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SEC proposes “pay-for-performance” disclosure rule

David H. Engvall; Reid S. Hooper; Keir D. Gumbs; David B.H. Martin
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