Michael Rivera

Michael Rivera

Venable LLP

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Business News Digest – August 2014

In this issue: - Draft Forms Released for the Affordable Care Act's Health Coverage Reporting Requirements - FINRA Targets Broker-Dealer Order Routing and Execution Quality of Customer Orders - Potential...more

8/12/2014 - Affordable Care Act Banks CFPB Compliance Discrimination Enforcement Enforcement Actions Executive Orders FDA Federal Contractors FINRA First Sale Doctrine Healthcare Healthcare Reform LGBT Reporting Requirements Sexual Orientation Discrimination Subsidies Tax Credits

FINRA Targets Broker-Dealer Order Routing and Execution Quality of Customer Orders

The Financial Industry Regulatory Authority (“FINRA”) has initiated a potentially impactful examination of broker-dealer order routing and execution. FINRA recently issued a targeted examination letter ("Order Routing and...more

7/15/2014 - Broker-Dealer Compliance Enforcement FINRA

Business News Digest – July 2014

In this issue: - SEC v. Citigroup: A New Standard for Reviewing Consent Decrees - Credit Unions Beware – the TARP Watchdog Is Ready to Pounce - Canada's New Anti-Spam Legislation: What Does It Mean for...more

7/10/2014 - Akamai Technologies Anti-Spam Legislation Canada CASL Citigroup Consent Decrees Credit Unions Limelight Networks Limelight v Akamai Non-Profits Prescription Drugs SCOTUS SEC SEC v Citigroup Spam Supply Chain TARP

Credit Unions Beware – the TARP Watchdog Is Ready to Pounce

Credit unions participating in the Troubled Asset Relief Program (TARP) are now a major blip on the radar screen of the TARP watchdog, the Special Inspector General for TARP (SIGTARP). TARP, often referred to as the "bank...more

6/4/2014 - Banks CDCI Credit Unions Inspector General TARP

Business News Digest – April 2014

In this issue: - Cybersecurity Assessments – Using the Tool Well - A SOX in the Gut: Supreme Court Vastly Expands Workplace "Whistleblower" Law - SEC to Scrutinize Never-Examined Investment...more

4/3/2014 - CFPB Class Action Coca Cola Compliance Contractors Cyber Attacks Cybersecurity Embezzlement FCPA Food Labeling Foreign Investment Fraud Lawson v FMR POM Wonderful Prepaid Payment Products Russia Sanctions Sarbanes-Oxley SCOTUS SEC Student Loans Suspensions & Debarments Ukraine Whistleblower Protection Policies Whistleblowers

SEC to Scrutinize Never-Examined Investment Advisers

The Securities and Exchange Commission (SEC) recently issued two important announcements regarding its examination of SEC-registered investment advisers. In January 2014, the SEC’s Office of Compliance Inspections and...more

3/12/2014 - Investment Adviser NEP OCIE SEC

Business News Digest – February 2014

In this issue: - Securities Enforcement and Compliance - Consumer Financial Protection Bureau - Food & Drugs - Government Contracts - Healthcare - Intellectual Property -...more

2/6/2014 - CFPB CMS Compliance DaimlerChrysler DaimlerChrysler v Bauman FDA Federal Contractors Food Safety Food Supply Foreign Corporations Healthcare Jurisdiction Medicare SCOTUS SEC

Bad Actors: Snubbed at Golden Globes, But Awarded Guidance from SEC

Bad actors received no accolades at last night’s Golden Globe Awards. However, persons designated as "bad actors" under the federal securities laws are very much in the SEC’s limelight. On December 4, 2013 and January 3,...more

1/15/2014 - Bad Actors Disclosure Requirements Issuers Private Offerings Regulation D Rule 506 Offerings SEC

Business News Digest – December 2013

In this issue: - NIST Holds Fifth Workshop on Cybersecurity Framework; Incentives Still Lacking - Advertising Law News & Analysis - November 1, 2013 Edition - November 7, 2013 Edition - November 14,...more

12/6/2013 - Advertising Athletes Bullying CFPB Cybersecurity Cybersecurity Framework E-Commerce Embezzlement FDA Fraud Grants Hazing Internet Investigations NFL NIST Non-Profits Private Funds Procurement Guidelines Retailers SEC

Business News Digest – November 2013

In this issue: - Banking Committee Focuses on Private-Label Mortgage-Backed Securities Market - SEC Requests Public Comment on OFR Study of Risks in the Asset Management Industry - Broken Windows and...more

11/6/2013 - Advertising Asset Management Compliance Crowdfunding Cybersecurity Cybersecurity Framework Enforcement Internet JOBS Act Mary Jo White Mortgage-Backed Securities Mortgages Native Advertising NIST SEC

SEC Sheds Light on Its Pursuit of "Streamlined" Investigations

Securities market participants and their counsel have fretted recently over the Securities and Exchange Commission’s (the Commission) new aggressive enforcement initiatives. In particular, in several recent speeches,...more

11/6/2013 - Enforcement Investigations Mary Jo White SEC

Broken Windows and Broken Gates: SEC’s White Vows to Repair and Clean Up the Securities Market

At last week’s renowned Securities Enforcement Forum 2013 in Washington, DC, SEC Chairwoman Mary Jo White and her senior Enforcement Division colleagues continued a now familiar drumbeat of aggressive enforcement. These...more

10/23/2013 - Compliance Enforcement Actions Mary Jo White SEC

Business News Digest – October 2013

In this issue: - NIST Holds Fourth Workshop on Cybersecurity Framework - NIST Releases Draft Preliminary Cybersecurity Framework in Advance of Dallas Workshop - SEC Issues Risk Alert on Short...more

10/4/2013 - Banks Cybersecurity Cybersecurity Framework Executive Compensation Financial Regulatory Reform NIST Pay Ratio SCORE Act SEC Security Clearance Short Sales Social Media Transparency User-Generated Content

Business News Digest – September 2013

In this issue: - What to Expect When You're Selling Your Company – Indemnification - Association Membership and Program Restrictions and the Antitrust Laws: Don’t Stumble Out of the Gate - CFPB: July...more

9/9/2013 - Antitrust Provisions Attorney Disbarrment Brand CFPB China Dietary Supplements Discipline Enforcement Actions FDA Federal Funding Federal Grants Food Labeling Food Safety Non-Profits Nutritional Supplements Sales SEC Supply Chain

No Bar is Off-Limits: SEC Enforces 2004 Order Barring Accountant

In a rare and aggressive move, the Securities and Exchanges Commission (SEC or Commission) recently sought a court order enforcing an almost decade-old SEC suspension of an accountant and forcing the accountant to disgorge...more

9/5/2013 - Board of Directors Enforcement Actions Fraud Liability SEC Suspensions & Debarments

Business News Digest – August 2013

In this issue: - SEC Allows Public Advertising of Private Securities Offerings - What Your Nonprofit Needs to Do about HIPAA – Now - The 2013 Draft MDE General Permit for Stormwater Associated with...more

8/8/2013 - Advertising CFPB Colleges Compliance Construction Site HIPAA Iran IRS JOBS Act New Regulations Non-Profits Nonbank Firms Private Placements Proposed Regulation Rule 506 Offerings SEC Storm Water Universities

SIGTARP's Pursuit of TARP-Related Misconduct – No End in Sight

On July 24, 2013, the Office of the Special Inspector General for the Troubled Asset Relief Program (“SIGTARP”) filed its latest Quarterly Report to Congress (the “July Report”). The July Report summarizes SIGTARP’s recent...more

7/30/2013 - Bailout Economic Downturn Enforcement Inspector General Investigations Law Enforcement TARP White Collar Crimes

SEC Allows Public Advertising of Private Securities Offerings

In a previous client alert we discussed rules proposed in August 2012 by the Securities and Exchange Commission (“Commission”) to allow for general solicitation, or public advertising, in private securities offerings...more

7/19/2013 - Advertising General Solicitation JOBS Act Private Placements Regulation D Rule 144A Rule 506 Offerings SEC Securities Act of 1933

Advertising News & Analysis - May 9, 2013

In this issue: - Product Demonstrations Deliver Reward…and Risk - Sometimes the Claim is in the Eye of the Beholder - Viacom v. YouTube Decision Maintains DMCA Safe Harbor for Video Site - TCPA...more

5/13/2013 - Advertising DMCA Enforcement Marketing Safe Harbors TCPA Viacom Viacom v YouTube

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