Mondaq USA: Corporate/Commercial Law
Pepper Hamilton LLP
Federal law’s much-talked-about presumption in favor of enforcing arbitration clauses has its limits.
Fox Rothschild LLP
Adjustments to the SEC’s enforcement function is enabling it to be more aggressive with individuals and corporations when pursuing allegedly violative behavior.
Fox Rothschild LLP
The SEC's Division of Investment Management said it will not object if an investment adviser pays a cash fee for the solicitation of advisory clients, although a federal district court injunctive order precluded it.
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
As we have noted in a number of recent posts, corporate cybersecurity risks have become a leading concern for both boards of directors and the SEC.
Ostrow Reisin Berk & Abrams
Watchdog organizations that patrol not-for-profits have been around for several years.
Pepper Hamilton LLP
The Securities and Exchange Commission has recently modified its Enforcement Division’s Municipalities Continuing Disclosure Cooperation Initiative in order to encourage as much participation in the program as possible.
Reed Smith
One of the goals of the federal JOBS Act, enacted in 2012, was to expand the ability of companies (both operating companies and funds) to make non-registered securities offerings using general solicitation and advertising.
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
This summer the SEC and the Wall Street Journal have reported several noteworthy items concerning the SEC’s whistleblower program, one of the most controversial components of the Dodd-Frank Act of 2010.
Waller Lansden Dortch & Davis
Article from Waller's Media Mentions.
Proskauer Rose LLP
In its landmark 2010 decision in Morrison v. National Australia Bank, the Supreme Court articulated what seemed to be a bright-line test for determining the extent to which the U.S. securities laws apply to transactions with international elements.
Fox Rothschild LLP
FINRA proposed a rule to bar brokers and their firms from requiring customers to consent to the removal of a dispute from the Central Registration Depository as a condition of settling the disagreement,
Fox Rothschild LLP
Last week I posted my opinion that I thought it was unlikely that 2014 has the potential to be the year of the marjiuana franchise.
Fox Rothschild LLP
FINRA proposed amendments to the organization’s arbitration code would tighten the definition of "public" arbitrator for FINRA arbitration purposes.
Fox Rothschild LLP
The Wall Street Journal today is reporting that US credit card issuers will distribute more than 575 million smart chip credit cards by the end of 2015.
Fox Rothschild LLP
At the halfway point of the year, the Sutherland Asbill firm has issued its report on FINRA’s fines to date.
Fox Rothschild LLP
The U.S. District Court for the Southern District of New York dismissed a New York law malpractice and fraud claims by convicted inside trader Winifred Jiau against her former attorney.
Fox Rothschild LLP
FINRA proposed a rule to bar brokers and their firms from requiring customers to consent to the removal of a dispute from the Central Registration Depository as a condition of settling the disagreement.
Fox Rothschild LLP
Doggy daycare resorts, bed bug chasers, hypnosis centers- what hasn’t been franchised?
Fox Rothschild LLP
In a decision largely dictated by the U.S. Supreme Court’s decision in Citizens United, U.S. District Judge William Caldwell of the Middle District of Pennsylvania today entered a permanent injunction suspending the Pennsylvania state law barring corporations and associations from making political contributions.
Cadwalader, Wickersham & Taft LLP
The US Supreme Court addressed directly the fraud on the market presumption of reliance in securities class actions, in Halliburton Co. v. Erica P. John Fund, Inc. (Halliburton II).
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Hughes Hubbard & Reed LLP
The SEC has adopted amendments to Rule 506 under the Securities Act of 1933 that permit general solicitation and general advertising in securities offerings under this exemption from securities registration provided all purchasers are accredited investors.
Morrison & Foerster LLP
The media have been abuzz with reports on the latest so-called "inversion" transactions shifting a U.S.-based multinational corporation’s tax residence offshore.
The Brattle Group
High-frequency trading began quietly as a natural result of technological advances.
Beugelmans, PLLC
By December 1, 2014, broker-dealers must commence the review of internal communications required under the new FINRA Supervision rule.
Fox Rothschild LLP
On May 24, 2014, the Seattle City Council passed an ordinance requiring a phase in over a number of years to a minimum wage of $15 per hour.
FinCEN issued proposed regulations that would formalize certain financial institutions’ Customer Due Diligence requirements.
Dentons (US)
American venture capital investment firms and entrepreneurs from abroad are disappointed by Congress's failure to enact the long-promised Startup Visa.
Katten Muchin Rosenman LLP
Effective January 1, 2014, the existing limited liability company (LLC) statute in California (the "Old Act") will be replaced by the California Revised Uniform Limited Liability Company Act (RULLCA).
Carter Ledyard & Milburn
This advisory addresses certain key fiduciary duty concepts applicable to managers of limited liability companies with a particular focus on Delaware LLCs.
Holland & Knight
Unprecedented barriers of entry — from the uncertainty of Dodd-Frank reforms to the economic downturn — have presented roadblocks to aspiring private equity fund managers in recent years.
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