September 21, 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.

Date Title Organization
20
Sep
D.C. Judge Rules in Favor of CFTC on Cross-Border Application of Dodd-Frank Rules Katten Muchin Rosenman LLP
19
Sep
Council of Institutional Investors Issues Report on Board Evaluation Disclosure Katten Muchin Rosenman LLP
19
Sep
Delaware Court Denies Dismissal for Disinterested Directors When Entire Fairness Applies Katten Muchin Rosenman LLP
19
Sep
Second Circuit Defines “Customer” Under FINRA Barnes & Thornburg LLP
19
Sep
UK Insider Dealers Ordered to Pay Confiscation Orders in Excess of the Profits Generated from Insider Dealing Katten Muchin Rosenman LLP
19
Sep
IRS Considers Whether Management Fees of an LLC Are Subject to Self-Employment Tax Katten Muchin Rosenman LLP
19
Sep
Can You Shrink a Wisconsin Condominium Project? Michael Best & Friedrich LLP
19
Sep
Short-Term Renewal of Ex-Im Bank Charter is Welcome but Brief Reprieve Covington & Burling LLP
19
Sep
North American Securities Administrators Association (NASAA): State Securities Regulators’ Views on Top Emerging Enforcement Issues Barnes & Thornburg LLP
19
Sep
Introducing Personal Liability Into Corporate Negligence: An Analysis of the Trek Leather Decision Katten Muchin Rosenman LLP
19
Sep
Department of Defense Contractors Agree to Pay the U.S. Government $5.5 Million for Allegedly Supplying the Military with Low-Grade Batteries for Humvee Gun Turrets Used in Iraq; Minnesota Whistleblower to Receive $990,000 Tycko & Zavareei LLP
18
Sep
Delaware Chancery Court Provides Further Support for Forum Selection Bylaws Andrews Kurth
18
Sep
SEC Targets Corporate Insiders for Failing to Promptly Disclose Stock Transactions Morgan, Lewis & Bockius LLP
18
Sep
Defense Industry Gave More Cash to Lawmakers Voting to Arm the Syrian Rebels Fighting ISIS MapLight
18
Sep
Growing Trend: Private Investment in Infrastructure and Transportation Bilzin Sumberg Baena Price & Axelrod LLP
18
Sep
Mechanics Lien Subordination: Illinois Further Limits Construction Lenders’ Ability To Ensure Priority Against Mechanics Liens Sheppard, Mullin, Richter & Hampton LLP
18
Sep
Larger Rewards For Wall Street Whistleblowers May Be On The Horizon Proskauer Rose LLP
18
Sep
Steps to Becoming a Broker Dealer Greenberg Traurig, LLP
18
Sep
Oxfam America Sues The SEC (Again) For Dilatory Rule Making Allen Matkins Leck Gamble Mallory & Natsis LLP
17
Sep
Wealth Management: The Wise Investor Group's Value Proposition [AUDIO] Odin, Feldman & Pittleman, P.C.

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