Richard Levin

Richard Levin

BakerHostetler

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In re Application of Owl Shipping: Does § 1782 permit discovery to aid foreign arbitral proceedings?

The District of New Jersey has issued a recent opinion highlighting a potential resource for parties engaged in foreign arbitral proceedings – the use of 28 U.S.C. § 1782, which allows parties engaged in foreign proceedings...more

11/26/2014 - Arbitral Authority Discovery Discovery Rule Foreign Arbitration Clauses Jurisdiction

The Empire State Strikes Back: New York Proposes Rules for Virtual Currency

The New York State Department of Financial Services (the “Department”) recently published its proposed rules and regulations (the “Proposed Rules”) for vendors conducting business involving virtual currency. The Proposed...more

8/11/2014 - Advertising AML/CFT Bitcoins BitLicense Chief Compliance Officers CIP Licenses Licensing Rules Marketing OFAC Popular Proposed Regulation Regulatory Standards SDN List State and Local Government Virtual Currency

Bitcoin Investment Vehicles Beware – The SEC is Watching

The Securities and Exchange Commission (SEC) recently charged the co-owner of two Bitcoin-related websites for publicly offering shares in the ventures without registering the securities under the Securities Act of 1933 (the...more

6/25/2014 - Bitcoins CFTC Cryptocurrency Enforcement Enforcement Actions FinCEN Popular Public Offerings SEC Securities Act of 1933 U.S. Treasury Virtual Currency

Amended Rule 506 - Lifting the Ban on General Solicitation

At its July open meeting, the Securities Exchange Commission (SEC) approved a rule proposal to amend Rule 506 of Regulation D and Rule 144A under the Securities Act of 1933 (the Securities Act)....more

9/9/2013 - Advertising Broker-Dealer Dodd-Frank General Solicitation JOBS Act Regulation D Rule 144A Rule 506 Offerings SEC Securities Act of 1933

SEC Lifts Ban on General Solicitation in Private Offerings

The Securities and Exchange Commission approved a proposed rule to lift the ban on general solicitation in offerings conducted under Rule 506 of Regulation D. The amendments to the rule were required by Section 201(a) of the...more

7/11/2013 - Advertising General Solicitation JOBS Act Regulation D Rule 506 Offerings SEC

SEC Releases National Examination Program Priorities for 2013

On February 21, 2013, the National Examination Program (NEP), which is administered by the Securities and Exchange Commission's (SEC) Office of Compliance Inspections and Examinations (OCIE), published its examination...more

4/2/2013 - Broker-Dealer Clearing Agents Investment Adviser NEP SEC Transfer Agents

JOBS Act Update

The Securities and Exchange Commission’s (SEC) Division of Trading and Markets and the Financial Industry Regulatory Authority (FINRA) recently published items of particular interest to firms following the progress of the...more

3/11/2013 - Broker-Dealer Crowdfunding FINRA General Solicitation JOBS Act SEC

FINRA Offers Regulatory Road Map for 2013

On January 11, 2013, the Financial Industry Regulatory Authority (FINRA) issued its annual Regulatory and Examination Priorities Letter (Priorities Letter) to member firms, which highlights its primary areas of focus for the...more

2/7/2013 - Algorithmic Trading Cybersecurity FINRA High Frequency Trading Insider Trading Private Placements SEC Securities SIFMA

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