Parker B. Morrill

Parker B. Morrill

Venable LLP

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Business News Digest – June 2014

In this issue: - SEC Warns Private Equity Fund Advisers about Compliance Shortcomings - Why the 50 Percent Rule Deserves 100 Percent Attention - Exactly How Much Omega-3 Is in There? -...more

6/4/2014 - Celebrity Endorsements CFPB Enforcement Enforcement Actions Estate Tax FCPA FTC Instrumentality Non-Profits Nonbank Firms Parental Leave Private Equity Private Equity Funds SEC

SEC Warns Private Equity Fund Advisers about Compliance Shortcomings

Andrew J. Bowden, Director of the Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) delivered remarks at last week's Private Equity International (PEI) 2014 Compliance Forum that...more

5/19/2014 - Compliance Investment Advisers Act of 1940 OCIE Private Equity Private Equity Funds SEC

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 – 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

Crowdfunding: The Real Thing is Almost Here

In 2012, wanting to assist small businesses and boost job creation, Congress enacted the JOBS Act. Part of the JOBS Act requires the SEC to adopt rules to exempt crowdfunding offerings from registration under the securities...more

10/29/2013 - Crowdfunding JOBS Act 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

SEC Proposes Rule Requiring Public Companies to Disclose Pay Ratios

On September 18, 2013, as required by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, the SEC proposed rules requiring public companies to disclose the median of the annual total compensation of all...more

9/24/2013 - CEOs Dodd-Frank Executive Compensation Pay Ratio SEC Transparency

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

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

Business News Digest – May 2013

In this issue: - Does the SEC Like Social Media? Understanding the Application of Regulation FD to Social Media - NIST Holds First Workshop on Executive Order Cybersecurity Framework - Jumpstart Our...more

5/21/2013 - Cybersecurity Energy Efficiency EPA JOBS Act NIST Permits Public Disclosure Regulation FD SEC Social Media Vessels

Does the SEC Like Social Media? Understanding the Application of Regulation FD to Social Media

The SEC seldom releases an investigation report under Rule 21(a) of the Exchange Act, but when it does, the information is usually important for all public companies. Last week, the SEC issued an investigation report to...more

4/12/2013 - Disclosure Requirements Netflix Public Disclosure Regulation FD SEC Social Media

Finders May Pose Risk in Private Capital Raising

Entrepreneurs, company executives, and private equity fund sponsors with a growing enterprise, innovative idea, or a new fund often find themselves needing help when it comes to raising capital to fund the new enterprise. As...more

3/25/2013 - Broker Commissions Broker-Dealer Finders Investors Ranieri Partners SEC

Developments in Eastern Congo Highlight Need for Companies to Prepare for SEC Conflict Mineral Rule Compliance

Recent gains by rebel groups in the mineral-rich eastern region of the Democratic Republic of Congo (“DRC”) have complicated efforts for U.S. companies to comply with a new Securities and Exchange Commission (“SEC”) rule...more

12/5/2012 - Compliance Conflict Mineral Rules SEC

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