August 16, 2017

Securities, SEC, & Financial Institution Law News

The National Law Review features the latest news and legal developments affecting all participants in the financial services industry. We cover news on debt finance, U.S. futures exchanges, broker-dealers, insolvency and restructuring, financial services technology (“FinTech”), and investment management, as well as regulatory rules issued by the Commodities and Futures Exchange Commission (“CFTC”), the Federal Reserve, and Financial Industry Regulatory Authority, Inc. (“FINRA”). Analysis includes compliance under finance laws including the Dodd Frank Wall Street Reform and Consumer Protection Act, the Federal Reserve Act, Gramm-Leach-Bliley Act, Fair Credit Reporting Act, Equal Credit Opportunity Act and more.

Along with Financial Services, National Law Review also has comprehensive coverage involving securities regulation and enforcement actions by the Securities and Exchange Commission (“SEC”).  We feature regular articles on the SEC, and how to best respond to enforcement actions and reporting requirements and how to comply with new regulations and changes in securities law and litigation.  Additionally, the National Law Review has comprehensive coverage of whistleblower regulations and news about whistleblower awards.

Date Title Organization
16
Aug
Uber Settles with FTC Over Allegations of False Privacy and Security Claims Keller and Heckman LLP
16
Aug
August 2017 Cybersecurity & Risk Alert from SEC Greenberg Traurig, LLP
16
Aug
E.D. Virginia Tosses Dodd-Frank Whistleblower Claim for Lack of SEC Complaint Proskauer Rose LLP
16
Aug
Five Reasons NOT to Register Your Trademark Drinker Biddle & Reath LLP
16
Aug
7th Circuit Affirms 1st Conviction For Spoofing Drinker Biddle & Reath LLP
16
Aug
New Partnership Tax Audit Rules Coming von Briesen & Roper, S.C.
16
Aug
Time is Running out for Firms to Respond to FCA Consultation on the Extension of the Senior Managers and Certification Regime Squire Patton Boggs (US) LLP
15
Aug
SEC Observations from Recent Cybersecurity Examinations Identify Best Practices Morgan, Lewis & Bockius LLP
15
Aug
Choice Of Law Provision In Stockholder's Agreement Insufficient to Create Personal Jurisdiction Over Delaware Corporation's Former CEO K&L Gates
15
Aug
Sarbanes-Oxley Act 15th Anniversary McDermott Will & Emery
15
Aug
Compliance Program Effectiveness: Fraud Division of the Department of Justice McDermott Will & Emery
15
Aug
The Conflict Review Process McDermott Will & Emery
14
Aug
The Significance of the Appearance of Conflict McDermott Will & Emery
14
Aug
Recommendations to Contribute to a Plan or IRA- Interesting Angles on the DOL’s Fiduciary Rule #58 Drinker Biddle & Reath LLP
14
Aug
10 Business, Advertising, and IP Considerations for E-Vapor Companies Keller and Heckman LLP
14
Aug
CEO Succession Practices McDermott Will & Emery
14
Aug
Microsoft's Term Limit Pivot McDermott Will & Emery
14
Aug
Balancing Director Expertise With Diversity of Experience McDermott Will & Emery
14
Aug
Are You Ready for the New York August 28th Compliance Deadline? Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
14
Aug
Ransomware and Corporate Governance McDermott Will & Emery

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