Mondaq USA: Corporate/Commercial Law
On June 9, 2016, the Securities and Exchange Commission (‘SEC") awarded the second largest whistleblower bounty – $17 million – granted under the Dodd-Frank whistleblower rules to date.
Morrison & Foerster LLP
The SEC has not explicitly defined the terms "general solicitation" or "general advertising" in Regulation D under the Securities Act of 1933.
Cadwalader, Wickersham & Taft LLP
The SEC approved the amended application by the Investor Exchange LLC ("IEX") to register as a national securities exchange. Simultaneously, the SEC updated its interpretation of "automated quotation" in order to require trading centers...
Foley & Lardner
In a dealer-friendly move that is growing increasingly common, see here, Vermont recently made substantial changes to the law that governs the relationship between equipment manufacturers and dealers within the state.
Fox Rothschild LLP
A Massachusetts franchisor can sue an Oregon franchisee in Massachusetts, according to a recent decision from the United States Court of Appeals for the First Circuit.
Fox Rothschild LLP
A federal district court in Trenton, New Jersey, has ruled that franchisor 7-Eleven was entitled to summary judgment on a franchisee's claims that it violated the New Jersey Franchise Practices Act (NJFPA) by imposing unreasonable performance standards ..
Proskauer Rose LLP
As we have previously observed, private fund advisers face a difficult challenge when SEC guidance (in the form of a speech or a public enforcement order) indicates that certain long-standing practices may be contrary to the securities laws.
Withers LLP
The SEC recently updated its Compliance and Disclosure Interpretations (C&DIs) on non-GAAP financial measures.
Fox Rothschild LLP
If you cannot answer this question, you may have an issue when you have your next FINRA exam. After all, firm culture is a FINRA exam priority. Does your firm have a culture of compliance?
Fox Rothschild LLP
Well, Ed, you continue to be right on point about these rules and their impact.
Cadwalader, Wickersham & Taft LLP
The U.S. Court of Appeals for the District of Columbia Court rejected a challenge to SEC Regulation A+ by state securities regulatory authorities in Montana and Massachusetts.
Fox Rothschild LLP
High-growth cybersecurity startups have received a total of $9 billion in venture capital funding in the past six years, according to the National Venture Capital Association.
Fox Rothschild LLP
Steven S. Goldenberg was featured in the CTFN article, "AGL/Southern Merger in Final Stretch in NJ."
Morrison & Foerster LLP
On June 14, 2016, the D.C. Circuit Court of Appeals in Lindeen v. SEC upheld Regulation A+, including the SEC's definition of "qualified purchaser."
Some interesting links we found across the web this week:
Sheppard Mullin Richter & Hampton
Alas, poor Erlich! We knew him; 'a fellow of infinite jest, of most excellent fancy; he hath borne us on his back a thousand times...
You've just received your first venture capital term sheet. Congratulations—you've earned it. Now what does it all mean?
Strasburger & Price, L.L.P.
On July 10, 2013, the SEC adopted its final rules eliminating the prohibition against general solicitation and general advertising.
On June 14, 2016, Governor Kasich signed House Bill 229 into law. The bill, which was over two years in the making, allows an Ohio family to establish its own trust company...
Morrison & Foerster LLP
The House Financial Services Committee held a markup session to discuss a number of bills, including many relating to capital formation and the lessening of regulatory burdens for smaller reporting companies.
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Ropes & Gray LLP
With New Year's behind us and roughly four and a half months to go until the calendar 2015 conflict minerals filings are due, many companies are ramping up their compliance efforts in earnest.
Miller Friel
Today we continue our "Five Things You Need To Know About D&O Insurance" series with part two, Notice.
Miller Friel
Our fourth entry in our series of Five Things You Need To Know About D&O Insurance is Improper Defense Tactics. Defense should be a simple issue.
Kramer Levin Naftalis & Frankel LLP
Norske was a Norwegian-headquartered paper company with global operations and paper mills in several countries.
Herrick, Feinstein LLP
Online terms of service, terms of use or "terms and conditions" ("TOS") are ubiquitous. But merely posting TOS on a website does not make them enforceable.
Ropes & Gray LLP
Late last Wednesday, the European Union reached agreement on the broad framework of a conflict minerals regulation.
In the securities industry, the majority of all employment disputes are resolved through binding arbitration.
Williams Benator & Libby, LLP
In the next three to five years, as much as 40 percent of private business owners will retire, in most cases selling their business, according to various sources.
Cadwalader, Wickersham & Taft LLP
On May 11, 2016, the Financial Crimes Enforcement Network ("FinCEN") issued the final version of its long-awaited "Customer Due Diligence Rules" under the Bank Secrecy Act.
Schnader Harrison Segal & Lewis LLP
The U.S. Supreme Court's decision in Daimler AG v. Bauman radically altered the manner in which general personal jurisdiction is analyzed in the United States.
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