July 22, 2014

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.

Title Organization Date Postedsort icon
SEC Fulfills Promise to Bring Whistleblower Retaliation Actions under Dodd-Frank Act Jackson Lewis P.C. 7/22/2014
Delaware Court of Chancery Rejects Indemnification Slight of Hand Sheppard, Mullin, Richter & Hampton LLP 7/22/2014
Public Company Accounting Oversight Board (PCAOB) Focuses on Cybersecurity at Standing Advisory Group Meeting Morgan, Lewis & Bockius LLP 7/22/2014
Infrastructure Investment Through Public-Private Partnerships (P3s) Bilzin Sumberg Baena Price & Axelrod LLP 7/22/2014
New State Administration of Foreign Exchange (SAFE) Rules Facilitate Registration for Overseas Financing and Investment by Chinese Domestic Residents McDermott Will & Emery 7/22/2014
Puerto Rico and Puerto Rico Electric Power Authority (PREPA) Seek Dismissal of Bondholder Challenge to Territory’s Bankruptcy Statute Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. 7/22/2014
Alternative Investment Fund Managers Directive (AIFMD): Renewed Focus on Its Impact on non-EU Managers of Private Funds Morgan, Lewis & Bockius LLP 7/22/2014
SEC Staff Issues Guidance on Verifying Accredited Investor Status Andrews Kurth 7/22/2014
Public Mergers & Acquisitions (M&A) in the UK: Positive Activity in First Half of 2014 Greenberg Traurig, LLP 7/22/2014
National Labor Relations Board (NLRB) Decides Not to Risk Its D.R. Horton Decision Barnes & Thornburg LLP 7/22/2014
California Dividend Statutes Found To Preempt Common Law Claims Allen Matkins Leck Gamble Mallory & Natsis LLP 7/22/2014
International Securities Exchange, LLC v. Chicago Board Options Exchange, Incorporated, Decision Granting Additional Discovery IPR2014-00097, 98 Drinker Biddle & Reath LLP 7/22/2014
Reader Responds to Recent Law Judge Blog Post on the SEC and the Increase in ALJs Barnes & Thornburg LLP 7/21/2014
DC Circuit Calls for More Transparency in CFIUS (Committee on Foreign Investment in the United States) Process Covington & Burling LLP 7/21/2014
Abu Dhabi Oil and Gas Market Continues to Draw Foreign Investment Andrews Kurth 7/21/2014
Californians To Vote On Stripping Common Cause Of Its First Amendment Rights Allen Matkins Leck Gamble Mallory & Natsis LLP 7/21/2014
District Court Clarifies Statute of Repose Timeline in Material Misstatement Case Katten Muchin Rosenman LLP 7/20/2014
CFTC (Commodity Futures Trading Commission) Seeks Comment on ICE Clear Europe Portfolio Margining Proposal Katten Muchin Rosenman LLP 7/19/2014
Once More Unto the [Data] Breach, Dear Friends Bracewell & Giuliani LLP 7/19/2014
New Ukraine-Related Sanctions Imposed on Russian Interests McDermott Will & Emery 7/19/2014
Commodity Futures Trading Commission (CFTC) Seeks Comment on ICE Clear Europe Portfolio Margining Proposal Katten Muchin Rosenman LLP 7/18/2014
Federal Deposit Insurance Corporation (FDIC) Proposes Changes to Assessments Rule Katten Muchin Rosenman LLP 7/18/2014
Ninth Circuit Defines Vicarious Liability Standard Under the Telephone Consumer Protection Act (TCPA) Katten Muchin Rosenman LLP 7/18/2014
New York Department of Financial Services Proposes First Comprehensive Regulatory Framework for Virtual Currency Businesses Katten Muchin Rosenman LLP 7/18/2014
Financial Industry Regulatory Authority (FINRA) Proposes to Adopt Rules on Quotation Requirements for Over-the-Counter Equity Securities Katten Muchin Rosenman LLP 7/18/2014
Securities and Exchange Commission (SEC) Adopts First Installment of Rules for Cross-Border Security-Based Swap Activity Katten Muchin Rosenman LLP 7/18/2014
Unmanageable Risk--An Unintended Consequence of Self- Insured Retentions Barnes & Thornburg LLP 7/18/2014
North Carolina Supreme Court Reminds Court of Appeals That Typical Lender-Borrower Relationship is Not a Fiduciary One Womble Carlyle Sandridge & Rice, PLLC 7/18/2014
Private Equity Funds at Higher Risk of Antitrust Fines McDermott Will & Emery 7/18/2014
Latin American Private Equity on the Rise McDermott Will & Emery 7/17/2014
Suntrust Reaches $320 Million Settlement Bilzin Sumberg Baena Price & Axelrod LLP 7/17/2014
SEC Clarifies Certain Proxy Voting Responsibilities of Investment Advisers and Availability of Exemptions from Proxy Rules for Proxy Advisory Firms Drinker Biddle & Reath LLP 7/17/2014
Choice of Entity Is Important for Budding Businesses McBrayer, McGinnis, Leslie and Kirkland, PLLC 7/17/2014
College Tuition and Child Support in Kentucky McBrayer, McGinnis, Leslie and Kirkland, PLLC 7/17/2014
A View from London: Initial Public Offering (IPO) Update from London Greenberg Traurig, LLP 7/17/2014
The Volcker Rule – The Conformance Period is Approaching Michael Best & Friedrich LLP 7/17/2014
A View from Amsterdam: Dutch Supreme Court Says Redeemable Preference Shares Covered by the Dutch Participation Exemption Greenberg Traurig, LLP 7/16/2014
Is China’s Big Win at the World Trade Organization against the U.S. Government’s Policy on Chinese Subsidies a Game-Changer? Drinker Biddle & Reath LLP 7/16/2014
A View from Italy: New Italian Private Corporate Debt Rules—Opportunities for Foreign Investors Greenberg Traurig, LLP 7/16/2014
The Gabelli Effect: How the Supreme Court’s Decision Is Impacting Enforcement Actions Barnes & Thornburg LLP 7/16/2014
Don’t Leave It Out of Your Earn-Out – Delaware Court of Chancery Addresses Implied Covenant of Good Faith and Fair Dealing in the Context Contingent Purchase Price Provisions Greenberg Traurig, LLP 7/16/2014
Plan Sponsors' Decision to Change Form of Employer Contributions Not A Fiduciary Function Proskauer Rose LLP 7/16/2014
“Significant Weaknesses” and “Disappointing Practices”: The Financial Conduct Authority’s (FCA’s) Anti-Money Laundering Annual Report Covington & Burling LLP 7/16/2014
What the Citigroup Settlement Really Shows Bracewell & Giuliani LLP 7/16/2014
Allied Domecq: Nexus-Combined Reporting McDermott Will & Emery 7/16/2014
Main Street Cashes $3.1 Billion in Checks from Wall Street Bilzin Sumberg Baena Price & Axelrod LLP 7/16/2014
Is Your Out-of-State LLC “Doing Business” in California? Sheppard, Mullin, Richter & Hampton LLP 7/16/2014
What Wisconsin Lenders Should Know About Construction Liens von Briesen & Roper, S.C. 7/16/2014
Recent Amendments to Mexican Commercial Laws Greenberg Traurig, LLP 7/15/2014
The Acquittal of Rengan Rajaratnum: A Precursor for Acquittals in Other “Remote Tippee” Cases? Barnes & Thornburg LLP 7/15/2014

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