Searching Content indexed under Finance and Banking by Cozen O'Connor ordered by Published Date Descending.
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The State AG Report Weekly Update September 5, 2019
Latest Trends and Insights on State Attorneys General Antitrust Enforcement from Cozen O'Connor's State Attorneys General Practice
United States
11 Sep 2019
The State AG Report Weekly Update August 15, 2019
Four AGs, led by Virginia AG Mark Herring, reached a settlement with Hearts 2 Heroes Inc., d/b/a Active Duty Support Services Inc. and its owners
United States
20 Aug 2019
The State AG Report Weekly Update July 11, 2019
Iowa AG Tom Miller issued a statement regarding the legality of hemp and cannabidiol products under state law after Congress passed the Agriculture Improvement Act of 2018 legalizing CBD derived from industrial hemp ...
United States
15 Jul 2019
Student Loans: Some Issues To Consider
Although these are not the only aspects of student loan policy that will come up in the next legislative session, these issues will drive the discussion regarding student loans.
United States
9 Nov 2012
SEC Recommends Major Changes In Municipal Securities Market
The Securities and Exchange Commission on July 31, 2012 issued a comprehensive report with recommendations to improve the municipal securities market.
United States
4 Oct 2012
First Circuit Court Of Appeals Holds Bank’s Online Security Measures "Commercially Unreasonable" In Landmark Decision
The following article was c0-written with my colleague Gary Klinger for a Cozen O’Connor client Alert. Gary turned it around in one-day.
United States
2 Aug 2012
Even After Installing Extra Insulation, The FHFA Proposed Rule On PACE Leaves Homeowners Out In The Cold
Property Assessed Clean Energy (PACE) is a property assessment used to finance the upfront costs of energy efficiency upgrades.
United States
30 Jul 2012
Delaware Courts Pose Problems For Venture Capitalists With No Clear Solutions
Venture capital investors have many reasons to exit underperforming investments.
United States
27 Jul 2012
The Emerging LIBOR Scandal - 3 Point Bulletin
LIBOR, or the London Interbank Offered Rate, is the average interest rate at various maturities at which global banks borrow funds from other banks.
United States
18 Jul 2012
SEC Addresses Extraordinary Volatility In Stock Market
The Securities and Exchange Commission announced two new initiatives to address extraordinary volatility both in individual stocks and the stock market as a whole.
United States
17 Jul 2012
The JOBS Act: SEC Guidance On The Confidential Submission Process
H.R. 3606, also known as the Jumpstart Our Business Startups Act (JOBS Act), was signed into law on April 5, 2012. Since its enactment, the Division of Corporate Finance (the Division) of the Securities and Exchange Commission (the Commission) has provided guidance on the implementation and application of the JOBS Act in light of its existing rules, regulations and procedures.
United States
17 May 2012
SEC Approves Nasdaq Proposal For Alternative Minimum Bid Price Listing Requirement
On April 18, 2012, the U.S. Securities and Exchange Commission (SEC) granted accelerated approval of a final rule adopting a more relaxed alternative to the current $4.00 per share minimum bid price initial listing requirement for the NASDAQ Capital Market (Nasdaq).
United States
14 May 2012
JOBS ACT BECOMES LAW AND SEC ISSUES GUIDANCE: The JOBS Act Reforms The Regulatory Scheme Governing The Offering Of Securities
The Jumpstart Our Business Startups Act, or JOBS Act, was enacted on April 5, 2012.
United States
23 Apr 2012
The Implications Of A Cyberattack On Your Securities Portfolio: You May Want To Read Your Holdings’ 10-Ks
So, you think that a corporate cyberattack has nothing to do with you? If so, think again. Indeed, to the extent you own stock or securities, the value of your holdings could be at risk in the event of a cyberattack.
United States
12 Apr 2012
Judge Rakoff & S.E.C.'s Policy Of Settling Without Admissions Of Wrongdoing - "HALLOWED BY HISTORY, BUT NOT BY REASON"
On March 15, 2012, a panel of the Second Circuit Court of Appeals granted a stay of the district court litigation brought by the Securities Exchange Commission against Citigroup Global Markets, Inc.
United States
26 Mar 2012
Securities Law and Cyber Disclosures… Perfect Together…Especially for Cyber and Tech Underwriters and Brokers. And Me
Its not often that worlds collide or that interests converge into one amorphous epiphany. But that’s exactly what happened to me recently, when the Division of Corporate Finance (DCF) of the U.S. Securities and Exchange Commission (SEC) issued a Disclosure Guidance identifying the types of information public companies should consider disclosing about cyber risks and events that could impact their financial statements.
United States
2 Nov 2011
Securities Fraud Class Certification Fails Due To Critical Question: Did All Class Members Purchase A Security?
A recurring theme here has been the importance in class certification motions of the underlying substantive law. Yet another recent example comes from a securities fraud action in a Nevada federal court.
United States
20 Oct 2011
Poison Pills Are Back In The News: What You Need To Know
Shareholder rights plans, commonly known as poison pills, are used by companies to defend against hostile takeovers. A poison pill creates an incentive for a hostile bidder to negotiate with the target company and, in certain cases, deter an unwanted offer completely.
United States
17 Oct 2011
SEC Speaks On Securitizations
On January 20, 2011, the Securities and Exchange Commission (SEC) adopted several final rules applicable to asset backed securities (ABS), which were mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the Wall Street Reform Act) as codified in revisions to the Securities Act of 1933, as amended (the Securities Act) and the Securities Exchange of 1934, as amended (the Exchange Act).
United States
17 Oct 2011
Washington Post Op-Ed Response
The response to our recent op-ed in the Washington Post, has been fantastic.
United States
16 Oct 2011
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