July 28, 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
European Market Infrastructure Regulation (EMIR): Incomplete Reports Will Be Sent Back, Creating Costs and Other Burdens for Counterparties Covington & Burling LLP 7/28/2014
Favorable Ruling: Taxability of HMOs Under New York City General Corporation Tax McDermott Will & Emery 7/28/2014
UN Leaders Advocate Channeling Investment in Africa into Development Needs Covington & Burling LLP 7/28/2014
California SB 1272 (NKA Proposition 49) – The Secretary of State’s Pretend Invitation Allen Matkins Leck Gamble Mallory & Natsis LLP 7/28/2014
SEC Settles Third-Party Insider Trading Claim Against New York Investor Relations Executive Katten Muchin Rosenman LLP 7/25/2014
Illinois District Court Reaffirms Rule 10b5-1 Standard and Denies Motion to Dismiss Insider Trading Charges Katten Muchin Rosenman LLP 7/25/2014
New York Releases Corporate Tax Reform FAQs McDermott Will & Emery 7/25/2014
SEC Issues Guidance on Proxy Voting Katten Muchin Rosenman LLP 7/25/2014
Positive Report for South Florida Commercial Real Estate Bilzin Sumberg Baena Price & Axelrod LLP 7/25/2014
SEC Approves FINRA Rule Limiting Expungement Katten Muchin Rosenman LLP 7/25/2014
Commodity Futures Trading Commission (CFTC) Releases Rule Enforcement Review of ICE Futures U.S. Katten Muchin Rosenman LLP 7/25/2014
CFTC Commissioner O’Malia Resigns from the CFTC to join International Swaps and Derivatives Association (ISDA) Covington & Burling LLP 7/25/2014
Institutional Shareholder Services Inc. (ISS) Seeks Input From Constituents for 2015 Compensation and Governance Proxy Guidelines Womble Carlyle Sandridge & Rice, PLLC 7/25/2014
Kentucky Supreme Court Approves Plugging Holes with Others' Piggy Banks using Budget Drafting McBrayer, McGinnis, Leslie and Kirkland, PLLC 7/25/2014
FTB Issues Legal Ruling Addressing Filing And Franchise Tax Obligations of LLCs And Their Members Allen Matkins Leck Gamble Mallory & Natsis LLP 7/25/2014
New York Proposes First State Bitcoin Regulations Proskauer Rose LLP 7/24/2014
Miami Courts Drive Florida Business Law Bilzin Sumberg Baena Price & Axelrod LLP 7/24/2014
General Electric (GE) Apparently Considering Selling Venerable Appliance Unit McBrayer, McGinnis, Leslie and Kirkland, PLLC 7/24/2014
Sanctions Update: U.S. and EU Extend Limited Sanctions Relief Related to Iran; EU Agrees to New Sanctions Against Russia Covington & Burling LLP 7/24/2014
Economic Self-Reliance and Strategic Cooperation: 2014 BRICS Summit (Brazil, Russia, India, China and South Africa) Covington & Burling LLP 7/24/2014
The Place of Mitigation Banking and In-Lieu Fee Programs in Pennsylvania Steptoe & Johnson PLLC 7/24/2014
Fifth Circuit Holds Deferred Compensation Plan Is Governed by ERISA Morgan, Lewis & Bockius LLP 7/24/2014
Watchdogs Petition SEC to Strengthen Prohibitions Against Impeding Complaints to SEC Proskauer Rose LLP 7/24/2014
SEC Adopts Amendments to Money Market Fund Rules Drinker Biddle & Reath LLP 7/24/2014
In This California Securities Case, Placement Agent Status Was Better Than Underwriter Status Allen Matkins Leck Gamble Mallory & Natsis LLP 7/24/2014
Extending Cybersecurity Breach Notice Requirements to Intelligence Community Contractors Covington & Burling LLP 7/24/2014
Corporate Documentation for Small and Mid-Sized Businesses Heyl, Royster, Voelker & Allen, P.C. 7/23/2014
Bitcoin – Is Anyone In Charge? Barnes & Thornburg LLP 7/23/2014
Citigroup Settles with DOJ for $7 Billion Bilzin Sumberg Baena Price & Axelrod LLP 7/23/2014
Facebook/Oculus VR (Virtual Reality) Acquisition Raises Pseudo-Foreign Corporation Question Allen Matkins Leck Gamble Mallory & Natsis LLP 7/23/2014
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
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

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