September 29, 2016

Securities, SEC, & Financial Institution Law News

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
29
Sep
D&O Loans: California Section 315 Versus Sarbanes-Oxley Section 402 Allen Matkins Leck Gamble Mallory & Natsis LLP
28
Sep
Your 401(k) Plan "Brokerage Window" May Require An S-8 Registration Cadwalader, Wickersham & Taft LLP
28
Sep
Retirement Plan Documentation and Prudent Recommendation: Interesting Angles on the DOL’s Fiduciary Rule #21 Drinker Biddle & Reath LLP
28
Sep
Second Circuit Affirms Exclusion of Certain Foreign Purchasers and Purchases from Securities Class Action Proskauer Rose LLP
28
Sep
Aquisition Integration for Logistics and Cargo Insurance Risk and Insurance Management Society, Inc. (RIMS)
28
Sep
Pennsylvania and Delaware Corporate Income Tax News Drinker Biddle & Reath LLP
28
Sep
California’s D&O Loan Ban And Advancement Of Expenses Allen Matkins Leck Gamble Mallory & Natsis LLP
28
Sep
Credit Card Transactions: To Surcharge or Not to Surcharge? That is the Question for SCOTUS IMS ExpertServices
27
Sep
Business Terms for Start-Up Companies: U.S. Market Entry Top 10 Greenberg Traurig, LLP
27
Sep
Because They’re Worth It? More Scrutiny Of UK Executive Pay Squire Patton Boggs (US) LLP
27
Sep
California Federal Court in LendingClub Class Action Requires Due Diligence by Lead Plaintiff Before Approving Lead Counsel Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
27
Sep
Mind Your Head(room)! Further Moves To Limit UK Executive Pay? Squire Patton Boggs (US) LLP
27
Sep
Minimizing Tax on Gain from the Sale of Stock of Latin American Controlled Foreign Corporations Bilzin Sumberg Baena Price & Axelrod LLP
27
Sep
Unitranche Financing – is it for you? Murtha Cullina
27
Sep
California’s Ban On Loans To Directors And Officers Allen Matkins Leck Gamble Mallory & Natsis LLP
26
Sep
SEC Adopts New Disclosure and Recordkeeping Requirements for Advisers Vedder Price
26
Sep
FINRA Fines UBS Financial Services for Failing to Provide Fund Sales Charge Waivers for Eligible Customers Vedder Price
26
Sep
New York Federal Judge Rules ”Bitcoins” Qualify as Money: “It’s Virtually Money!” Squire Patton Boggs (US) LLP
26
Sep
SEC Settles Charges against Adviser for Failing to Disclose Termination Waiver Arrangement with Sub-Adviser in Connection with a Manager-of-Managers Exemptive Application Vedder Price
26
Sep
SEC Settles with Thirteen Investment Advisers for Negligent Reliance on False Performance Claim Vedder Price

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