Mignon  Lunsford

Mignon Lunsford

Burr & Forman

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Banking & Financial Services E-Note - October 2014

In This Issue: - Obama Issues Order to Improve Data Security - Fed Official Calls for U.S. to Stop Bailing Out Banks - Global Regulators Crack Down on Shadow Banking to Curb Risks - CFPB Reports...more

10/28/2014 - Apple Apple Pay Banking Sector Banks Barack Obama CFPB Cybersecurity Executive Orders Federal Reserve Financial Institutions Shadow Banking Student Loans

Proposed FINRA Rule 2231 Governing Customer Account Statements

Through its recent Regulatory Notice 14- 35, the Financial Industry Regulatory Authority (“FINRA”) announced and sought comments on its proposed new Rule, FINRA Rule 2231, governing the frequency and availability of customer...more

10/16/2014 - Financial Statements FINRA NASD NYSE Public Comment Rulemaking Process

FINRA Rule 3110(e)

The Financial Industry Regulatory Authority (“FINRA”) recently filed a proposal with the Securities and Exchange Commission (“SEC”) to amend FINRA’s rule governing member firms’ background investigations into associated...more

9/26/2014

Health Care E-Note - June 19, 2014

In This Issue: - Report Ranks U.S. Last Out of 11 in Health Care System Quality - Analysis Identifies Un-Tracked Avoidable Hospital Complications - Number of Doctors Employed by Hospitals Grew 34% Over 10...more

6/20/2014 - Background Checks Healthcare Healthcare Costs Healthcare Facilities Healthcare Reform Home Health Care Home Healthcare Workers Hospitals Pharmaceutical Pharmacies Physicians Quality of Care Standards

What You Don't Say Can Be Used Against You: Assessing The Fifth Amendment's Role In Qui Tam Litigation

In 1987, current Florida governor Rick Scott used his life savings to start Columbia Hospital with the idealistic goal of cutting healthcare costs and improving patient care. A few years later, Columbia merged with the...more

4/3/2014 - False Claims Act Fifth Amendment Healthcare Hospitals Qui Tam

Corporate & Tax E-Note - June 27, 2013

In This Issue: - Secrecy Provision of JOBS Act Boosts IPO Pipeline - SEC Chair Says Companies Will Soon Have to Admit Wrongdoing - SBA Revises Standards Determining Small Business Sizes - Group Announces...more

7/2/2013 - Business Development Crowdfunding IPO JOBS Act Research and Experiment Tax Credit SBA SEC Small Business Startups

Banking & Financial Services E-Note - April 25, 2013

In This Issue: - Regulators Could Step in with Tougher Rules as Bank Profits Rise - Bill Would Force Study of Basel III Impact on Bank Capital Costs - Regulator Wants Enforcement Powers Against Bank...more

4/26/2013 - Barack Obama CFPB Compliance Cyber Attacks Cybersecurity Enforcement Extensions FDIC Federal Reserve Living Will Loans Mortgages Profits SEC Small Business

Burr Alert: Proposed FINRA Rules Governing Markups, Commissions And Fees

Through its recent Regulatory Notice 13-07, the Financial Industry Regulatory Authority ("FINRA") announced and sought comments on its proposed amendments to rules governing markups, markdowns, commissions and fees associated...more

4/10/2013 - Broker Commissions Brokers Fees FINRA Markups

Banking & Financial Services E-Note - March 28, 2013

In This Issue: - Global Banking Group Calls for Several Rates to Replace Libor - U.S. Applies Money-Laundering Rules to "Virtual Currencies" - SEC Says Big Banks Don't Have to Hold Shareholder Break-Up Votes -...more

4/3/2013 - CFPB Credit Unions International Accounting Standards Board Libor Loans Money Laundering SEC Shareholder Votes Small Business Student Loans TARP Virtual Currency

Corporate & Tax E-Note - March 28, 2013

In This Issue: - SEC Yet to Release Jumpstart Our Business Startups Act Guidelines - IRS Crackdown on Contract Workers Has Small Businesses Concerned - Accelerated Filers Found to be Filing More Restatements -...more

4/3/2013 - Audits Board of Directors CEOs Class Action Cyber Attacks Cybersecurity Divorce Family Businesses Filing Requirements IPO IRS JOBS Act SEC Small Business Tax-Exempt Bonds

Burr Alert: FINRA Amends Subpoena And Arbitrator Order Rules

In its recent Regulatory Notice 13-04, the Financial Industry Regulatory Authority ("FINRA") announced amendments to its Customer and Industry Codes of Arbitration Procedure related to subpoenas and arbitrator orders for the...more

3/27/2013 - Arbitration Discovery Document Productions FINRA Subpoenas

Burr Alert: Doctrinal Split Over Nonparty Discovery In Arbitration Continues

The Federal Arbitration Act (FAA) was enacted to ensure the enforceability and validity of arbitration agreements. Through the enactment of this sweeping legislation, Congress signaled its approval of arbitration as a form of...more

2/26/2013 - Arbitral Authority Arbitration Discovery FAA Section 7 Federal Arbitration Act Non-Parties Split of Authority Subpoenas

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