Searching Content indexed under Financial Services by Sheppard Mullin Richter & Hampton ordered by Published Date Descending.
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Fifth Circuit Affirms Enron Broker Not Liable To Employee Stock Option Holders For False Or Withheld Information
Ending a more than 15-year-long legal battle, the Fifth Circuit on May 24, 2019, unanimously affirmed the dismissal of a proposed class action against subsidiaries of UBS AG, alleging violations of U.S. securities laws...
United States
23 Aug 2019
Increase In Regulatory Expense For Debtor-In-Possession Revolving Credit Facilities
The United States Court of Appeals for the Seventh Circuit held that payments made by a debtor's customers to its lender converting a pre-petition loan to a post-petition loan constituted
United States
22 Aug 2019
It's All About Capital
In 2018, securitization provided an estimated $13.1 trillion in financing. Contrast that with the US $10.24 trillion issued at the end of the 2nd quarter of 2008
United States
14 Aug 2019
New Bill Seeks To Bring Clarity To Insider Trading Law
On May 7, 2019, Representative James Himes (D-Conn) introduced the "Insider Trading Prohibition Act" (H.R. 2534). The proposed legislation would amend the Securities and Exchange Act of 1934
United States
6 Aug 2019
Opportunity Zones Update New Proposed Treasury Regulations (Part III)
The Opportunity Zone tax incentive program allows taxpayers that invest in a Qualified Opportunity Fund to (i) defer paying taxes on the capital gain from the sale or exchange of appreciated assets;
United States
18 Jul 2019
Opportunity Zones Update: New Proposed Treasury Regulations (Part II)
In December 2017, as part of the Tax Cuts and Jobs Act ("TCJA"), Congress established a new tax incentive program to promote investment in certain low-income communities
United States
5 Jun 2019
CFTC Allows Certain Dealers And Merchants To Avoid Annual Privacy Notice
Beginning May 28, 2019 certain dealers and merchants will be able to avoid sending out an annual privacy notice, under a revision the Commodity Futures Trading Commission
United States
27 May 2019
What Game Companies Need To Know About FinCEN's Updated Guidance On Virtual Currency
FinCEN has issued updated guidance addressing the use of crypto currency and other convertible virtual currency (CVC).
United States
21 May 2019
New York Department Of Financial Services Releases Letter Regarding Third Party Data Sources
In a recent letter, the New York Department of Financial Services provided guidance for insurers who use third party data to help with their underwriting decisions.
United States
1 Mar 2019
Expansion Of Regulation A To Reporting Companies: Increased Alternatives Now Available To Public Companies Seeking To Raise Capital Or For Mergers And Acquisitions
On December 19, 2018, the SEC announced that it had adopted final rules that allow reporting companies to rely on the Regulation A exemption from registration for their securities offerings.
United States
7 Feb 2019
The Effects Of The SEC Shutdown On The Capital Markets
Although EDGAR continues to accept filings, the government shutdown has now eclipsed its 28th day and the SEC continues to operate with limited staff which is having a crippling effect
United States
24 Jan 2019
UK's ICO Fines Marketing Company Over Unsolicited Emails
The UK's data protection authority, the ICO, recently fined marketing firm Everything DM Ltd for sending almost 1.5 million marketing emails without obtaining sufficient consent as required by the...
United States
20 Sep 2018
Recent Development In Regulatory Enforcement Of Digital Securities
In a flurry of activity and confluence of developments, the SEC, FINRA and a Brooklyn federal judge have commenced actions and made rulings that continue to define the regulatory framework and obligations...
United States
14 Sep 2018
Two Cyber Laws Go Into Effect Over Us Labor Day Weekend
On September 1, the Colorado breach notification statute update became effective, the first of two developments that occurred over the weekend.
United States
7 Sep 2018
California Supreme Court Rules That Loans Not Subject To Usury Cap May Still Be Unconscionable
The California Supreme Court ruled on Monday, August 18, that an interest rate on a consumer loan in California could be deemed illegally high even if the loan is not subject to the state's usury law.
United States
2 Sep 2018
SEC Approves Updated Disclosure Requirements
On August 17, 2018, the Securities and Exchange Commission (SEC) approved amendments to certain of its disclosure requirements that have become redundant, duplicative ...
United States
29 Aug 2018
FINRA Fetes Emerging Blockchain Technology At Industry Conference
Blockchain technology ("Blockchain"), also known as Distributed Ledger Technology, stands poised to transform the future of the financial industry.
United States
14 Aug 2017
The Consumer Financial Protection Bureau Adopts New Rule Barring Class Action Waivers In Arbitration Agreements
As expected, and with few changes, the Consumer Financial Protection Bureau adopted its proposed rule barring financial companies regulated by the agency from including class action waivers...
United States
31 Jul 2017
China Capital Controls: Best Practices For Accelerating International Payments
Following the depreciation of Chinese currency RMB and the reduction in China's foreign exchange reserves...
United States
4 May 2017
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