Searching Content indexed under Securities by Day Pitney LLP ordered by Published Date Descending.
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White Collar Roundup - May 2019
In a sign of its own deepened recognition of the risk of identity theft and other compromise of personal information, the Securities and Exchange Commission
United States
21 May 2019
White Collar Roundup - April 2019
The U.S. Securities and Exchange Commission (SEC) got good news from the U.S. Supreme Court in Lorenzo v. SEC. The focus of the case was the scope of SEC Rule 10b-5, which broadly prohibits
United States
12 Apr 2019
FERC Final Rule Narrows And Clarifies Filing Requirements For Applicants And Holders Of Interlocking Positions
The Federal Energy Regulatory Commission final rule amending its regulations related to the FERC filing and notice requirements for officers and directors to hold interlocking positions has been published in the Federal Register
United States
14 Mar 2019
White Collar Roundup - February 2019
The U.S. Attorney's Office for the District of New Jersey reported here it has charged two Ukrainian men "for their roles in a large-scale, international conspiracy to hack into the SEC's computer system and profit...
United States
8 Feb 2019
SEC Amends Municipal Bond Continuing Disclosure Rules
The compliance date is 180 days after the final rule is published in the Federal Register.
United States
22 Aug 2018
White Collar Roundup - June 2018
The U.S. Court of Appeals for the Fourth Circuit, in United States v. Kolsuz, held that a forensic search of a cellphone during a border crossing didn't require a warrant under the Fourth Amendment.
United States
8 Jun 2018
Goodbye, DOL Fiduciary Rule, And Hello, SEC Standards Of Conduct?
The Securities and Exchange Commission (SEC) recently voted to propose standards of conduct for broker-dealers and investment advisers.
United States
2 May 2018
Supreme Court Recently Limited The Scope Of Whistleblower Protection Under Dodd-Frank, But State Laws Continue To Provide Broader Protections
On February 21, 2018, in Digital Realty Trust, Inc. v. Somers, the U.S. Supreme Court held that, to sue under the anti-retaliation provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act ...
United States
5 Apr 2018
MSRB Issues Advisory On Selective Disclosure Of Material Information
The MSRB published an advisory on September 13 highlighting to municipal issuers, dealers and municipal advisors the importance of disclosing material information "fairly, equitably and in the public domain."
United States
18 Sep 2017
White Collar Roundup - May 2017
A defendant who is convicted, but for whom the sentencing court delays issuing the final restitution order, must appeal the court's sentence and then separately appeal the court's order of restitution.
United States
8 May 2017
SEC Proposes Requiring Material Event Notices For Municipal Bank Loans And Other Private Placements
On March 1, the Securities and Exchange Commission (SEC) voted to propose amendments to Rule 15c2-12.
United States
3 Mar 2017
White Collar Roundup - October 2016
The Securities and Exchange Commission's (SEC) Division of Enforcement director, Andrew Ceresney, outlined the successes of the whistleblower program during a speech in Washington, D.C.
United States
4 Oct 2016
White Collar Roundup - September 2016
The Second Circuit held that in securities-fraud prosecutions, "[v]enue is proper not only in the district where telephonic or electronic materially fraudulent communications were initiated..."
United States
8 Sep 2016
Capital Acquisition Brokers: Should You Play By The New Rules?
Just in time for back-to-school season, the SEC has approved FINRA's new rule book for "capital acquisition brokers" (CABs) – firms that are solely engaged in advising companies on mergers and acquisitions, advising issuers on raising debt and equity capital in private placements with institutional investors, or providing strategic and financial advisory services.
United States
1 Sep 2016
Regulated Crowdfunding Is Here
It's Day One of the brave new world of equity crowdfunding ("regulation crowdfunding" to use the SEC's parlance). The final rules promulgated by the SEC six months ago became effective today.
United States
17 May 2016
White Collar Roundup - February 2016
The U.S. Supreme Court granted certiorari in Salman v. United States to address what the government must prove to win an insider-trading case.
United States
8 Feb 2016
White Collar Roundup - January 2016
The U.S. Court of Appeals for the Second Circuit reversed the securities fraud conviction of Jeffries & Company (Jeffries) trader Jesse Litvak in United States v. Litvak.
United States
6 Jan 2016
Family Office Structuring And Operating Pitfalls: Observations From The Field
Family offices that meet certain criteria are excluded from registration with the U.S. Securities and Exchange Commission ("SEC") as an investment adviser ("Family Office Exclusion").
United States
16 Sep 2015
Dating Advice For Internet Platforms: SEC Provides Guidance On How To Form Substantive Pre-Existing Relationship
Can you form a substantive, pre-existing relationship in fewer than 30 days? For Internet platforms offering private placements in reliance on Rule 506(b) of Regulation D, the answer is "yes."
United States
18 Aug 2015
White Collar Roundup - July 2015
Cybersecurity and cyberbreaches are all over the news these days. But who would have guessed that this hot topic would rear its head in relation to America's favorite pastime?
United States
6 Jul 2015
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