March 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
3
Mar
Two-Factor Authentication May Be Coming to a Bank Near You Brooks, Pierce, McLendon, Humphrey & Leonard, LLP
3
Mar
Does Former Officer Have An Obligation To Turn Over Whistleblower Award? Allen Matkins Leck Gamble Mallory & Natsis LLP
2
Mar
Potential Shareholder Liability Arising From Subsidiary WARN Act Violations Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
2
Mar
SEC Provides Guidance on Receipt of Gifts by Fund Advisory Personnel Drinker Biddle & Reath LLP
2
Mar
Recap of the USCIS Lawful Source of Funds Public Engagement Feb. 26, 2015 Greenberg Traurig, LLP
2
Mar
Bridging the Week: CCP Report Cards; HFTs; Wash Trades; CFTC Lawsuit Against Attorney; Insider Trading; Conflicts [VIDEO] Katten Muchin Rosenman LLP
2
Mar
Important Alert for Commercial Owners/Landlords and Brokers/Agents: Changes to California Dual Agency Disclosure Laws Effective January 1, 2015 Sheppard, Mullin, Richter & Hampton LLP
2
Mar
Federal Reserve Remains Under Scrutiny; CFTC Reopens Comment Period On Position Limits, Staff To Hold Roundtable Squire Patton Boggs (US) LLP
2
Mar
Goodyear Settles SEC’s FCPA Charges for $16M – Investigation Underscores Importance of Pre-Acquisition Due Diligence and Oversight of Foreign Subsidiaries Drinker Biddle & Reath LLP
2
Mar
Broad Coalition Delivers Blunt Rebuke To SEC Chairman Allen Matkins Leck Gamble Mallory & Natsis LLP
2
Mar
When “Shall” Means “May”: Wisconsin Court of Appeals Allows Mortgage Lenders to Slow the Foreclosure Sale Process Foley & Lardner LLP
2
Mar
Company Websites and the Internet: Choose Your Words with Care Heyl, Royster, Voelker & Allen, P.C.
1
Mar
SEC Continues to Investigate Contractual Impediments to Whistleblower Complaints Proskauer Rose LLP
1
Mar
M and A Due Diligence Failures: FCPA and Goodyear Barnes & Thornburg LLP
1
Mar
UK Government Relaxes the Rules Restricting the Words Used in Company Name Greenberg Traurig, LLP
28
Feb
Delaware Court Grants Petition to Dissolve Joint Ventures Katten Muchin Rosenman LLP
27
Feb
Second Circuit Holds That SIPA Does Not Permit an Inflation or Interest Adjustment to “Net Equity” Claims For Customer Property Sheppard, Mullin, Richter & Hampton LLP
27
Feb
IoT – It’s All About the Data, Right? Foley & Lardner LLP
27
Feb
Chicago Board Options Exchange (CBOE) Proposes to Offer Extended Trading Hours for SPX and VIX Options Katten Muchin Rosenman LLP
27
Feb
Top 5 Takeaways for Trademark Owners from the Supreme Court's Hana Financial, Inc. v. Hana Bank Tacking Decision Sterne, Kessler, Goldstein & Fox P.L.L.C.

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Brooks, Pierce, McLendon, Humphrey & Leonard, LLP
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Odin, Feldman & Pittleman, P.C.
McBrayer, McGinnis, Leslie and Kirkland, PLLC
Allen Matkins Leck Gamble Mallory & Natsis LLP

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