September 3, 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
2
Sep
Proposed AML Regulations for Registered Investment Advisers Released by FinCEN Proskauer Rose LLP
2
Sep
CFTC Approves NFA Rules Affecting Forex Dealers Schiff Hardin LLP
2
Sep
Recent IRS Guidance Prohibits Lump-Sum Windows for Pension Retirees, Updates Pension Mortality Tables for 2016 McDermott Will & Emery
2
Sep
Asset Purchasers May Be Found Liable as “Successors” Morgan, Lewis & Bockius LLP
2
Sep
FinCEN Proposes New Rules for Investment Advisers Drinker Biddle & Reath LLP
2
Sep
The High Cost of an FCPA Violation Foley & Lardner LLP
2
Sep
Crowdfunding 101: The Four Types You Need To Know Foley & Lardner LLP
2
Sep
Officers And The Internal Affairs Doctrine Allen Matkins Leck Gamble Mallory & Natsis LLP
2
Sep
Third Circuit Holds FTC Has Authority to Regulate Cybersecurity under Unfairness Prong of 15 U.S.C. § 45(a) Wilson Elser Moskowitz Edelman & Dicker LLP
2
Sep
FTC Settles Allegations of HSR Act Violation by Activist Investment Fund McDermott Will & Emery
1
Sep
Tibble v. Edison May Not Be Earth-Shattering, But It’s a Good Reminder That Process Matters Morgan, Lewis & Bockius LLP
1
Sep
Read This Before You Grant Equity to Key Employees Horwood Marcus & Berk Chartered
1
Sep
DOL Clarifies Fiduciary Duties for Defined Contribution Plan Sponsors Offering Annuity Contracts McDermott Will & Emery
1
Sep
Just How Scary is the SEC? “Fear” Not Sufficient Grounds to Duck Administrative Subpoena Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
1
Sep
SEC Steps Up Its Pursuit of Claims Involving the EB-5 Immigrant Investor Program Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
1
Sep
Expansion of Issuer Liability for Crowdfunding: What Might this Mean for the EB-5 Industry Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
1
Sep
North Carolina Business Court Enjoins Enforcement Of High Interest Rate Loans Made By American Indian-Related Business Brooks, Pierce, McLendon, Humphrey & Leonard, LLP
1
Sep
California Securities Law: Overcoming A Securities Overissue Allen Matkins Leck Gamble Mallory & Natsis LLP
1
Sep
Pumping the Brakes on Shareholder Demands and Threats of Derivative Lawsuits against Your Company Horwood Marcus & Berk Chartered
31
Aug
Potential New Recovery Tool for Worldwide Fraud—Backwards Tracing Horwood Marcus & Berk Chartered

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