August 29, 2015

Securities, SEC, & Financial Institution Law News

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The National Law Review is a free resource of articles addressing legal issues related to the financial services and securities industries. Legal topics addressed include: financial regulatory, compliance, debt finance, broker-dealer, insolvency and restructuring, investment management and structured transactions. Details of actions by state and local governments, and by other governmental agencies as well as mediation and arbitration and civil actions from across the U.S. are added daily.

Date Title Organization
29
Aug
Final Regulations on Contraceptive Coverage under Affordable Care Act – the Religious Exemption Jackson Lewis P.C.
29
Aug
ESMA Publishes Discussion Paper on EMIR Standards Relating to CCP Client Accounts Katten Muchin Rosenman LLP
29
Aug
Foreign Corrupt Practices Act (FCPA): Israel Beware – Trends in Enforcement Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
28
Aug
The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt a Kill Switch for NOM Katten Muchin Rosenman LLP
28
Aug
What Happened to Edward Jones and Does it Impact Issue Price? Squire Patton Boggs (US) LLP
28
Aug
Anti-Money Laundering Program and Suspicious Activity Report Filing for Investment Advisers Katten Muchin Rosenman LLP
28
Aug
Cautionary Tale for EB-5 Investors Jackson Lewis P.C.
28
Aug
CPMI and IOSCO Publish Joint Consultative Report on the Global Harmonization of OTC UTI Katten Muchin Rosenman LLP
28
Aug
Bipartisan Policy Center Will Host a Panel Discussion on the EB-5 Program on September 17, 2015 Greenberg Traurig, LLP
28
Aug
SEC Issues Risk Alert on Broker-Dealer Controls Regarding Retail Sales of Structured Securities Products Katten Muchin Rosenman LLP
28
Aug
CFTC Registers ICE Futures Canada and Montreal Exchange as FBOTs Katten Muchin Rosenman LLP
28
Aug
PRIIPS – ESMA Publishes Reponses to Consultation on Key Information Document Katten Muchin Rosenman LLP
28
Aug
Original Judgment in Conflict Minerals Case Reaffirmed Andrews Kurth
28
Aug
CFTC Approves NFA’s Enhanced Retail Forex Requirements Katten Muchin Rosenman LLP
28
Aug
SEC Decreases Registration Statement Filing Fees for Fiscal Year 2016 Katten Muchin Rosenman LLP
28
Aug
Eleventh Circuit Examines “Debt Collector” Under the FDCPA Womble Carlyle Sandridge & Rice, PLLC
28
Aug
Bank Boards and Corporate Officers Review your Policies and Procedures: Business Judgment Rule Protections May Be Loosening Poyner Spruill LLP
28
Aug
Grammatical Gender And The General Corporation Law Allen Matkins Leck Gamble Mallory & Natsis LLP
28
Aug
Will China’s Currency Devaluation Complicate the Trans-Pacific Partnership? Foley & Lardner LLP
27
Aug
New Missouri Law Gives Securities Brokers Immunity for Protecting Seniors Armstrong Teasdale

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