Thomas Lauerman

Thomas Lauerman

Carlton Fields Jorden Burt

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Latest Publications


SEC Reconsiders Exchange-Traded Products

The SEC recently published myriad questions about the listing, trading, and marketing (especially to retail investors) of "new, novel, or complex" exchange-traded products (ETPs). Such ETPs include exchange-traded funds...more

10/5/2015 - Broker-Dealer ETFs Exchange-Traded Products Financial Markets Investment Investment Company Act of 1940 Investors No-Action Relief SEC Securities Exchange Act Trading Platforms

Global Regulators Evolve on Money Manager Systemic Risks

The Board of the International Organization of Securities Commissions (IOSCO) in June made an important recommendation concerning any risks that investment funds and advisors present to the global financial system....more

10/5/2015 - Asset Management Consumer Financial Products Federal Reserve Financial Institutions Financial Markets FSB FSOC Investment Investment Funds Investors IOSCO Regulatory Standards Risk Assessment

Still Threatened: Arbitration Clauses in Securities Customer Agreements

In a report to Congress released in March, the Consumer Financial Protection Bureau (CFPB) takes aim at consumer agreements that require disputes to be resolved by arbitration. The CFPB generally does not have...more

6/19/2015 - Arbitration Arbitration Agreements Blue Sky Laws Broker-Dealer CFPB Checking Accounts Class Action Credit Cards Dodd-Frank Financial Institutions Financial Markets FINRA Investment Adviser Mediation Mobile Devices Payday Loans Prepaid Payment Products Private Student Loans SEC Securities

Trademarks in Cuba, Successful Whistleblowers, Big Data, Health Care Encryption, Jury Instruction Tips [Expect Focus – Vol. 1,...

IN THE SPOTLIGHT · Is your Company Ready to Comply with Encryption of Individually Identifiable Health Information? LIFE INSURANCE · STOLI Schemers Must Make Good on Damages Caused · At the State Level, Is a Fixed-Index...more


FSOC Presses SEC on Money Managers’ Systemic Risks

The SEC is stepping lively to preserve a role in formulating any additional requirements for money managers—such as mutual funds and investment advisers—to limit perceived risks to the financial system. Although the...more

4/6/2015 - Dodd-Frank FSOC Fund Managers Investment Adviser Mary Jo White SEC

Expect Focus - Spot The Regulator, Volume IV, Fall 2014

In This Issue: - IN THE SPOTLIGHT ..Crisis Management: Five Steps to Take Before Providing That Comment - LIFE INSURANCE ..Third Circuit Limits ERISA Fiduciary Liability to those with Ultimate...more

1/16/2015 - Automotive Loans CFTC Class Action Consumer Complaint System Data Breach Divorce Driverless Cars FCC Healthcare HIPAA Insurance Industry Life Insurance Money Market Funds Mortgages NAIC Private Equity Funds STOLI Unsolicited Faxes

Broker-Dealer Fee Disclosure Under Microscope

In September, state securities regulators formed a working group aiming to make broker-dealers’ disclosures about their fees more clear, accessible, and useful to investors in comparing different firms’ charges. The group...more

1/9/2015 - Broker-Dealer Fee Disclosure NASAA State Regulators Transparency

Guidance for Investment Advisers Using Proxy Advisory Firms

A recent SEC Staff Legal Bulletin provides important guidance for investment advisers that use proxy advisory firms in voting clients’ securities. Nevertheless, the Bulletin (dated June 30, 2014) leaves much unresolved....more

10/1/2014 - Compliance Investment Adviser Proxy Advisors Proxy Voting Guidelines SEC

Expect Focus - Catching The Next Wave, Regulatory and Litigation Developments - Volume II, Spring 2014

In This Issue: - IN THE SPOTLIGHT ..Private Equity: The Next Wave of SEC Enforcement Actions? - LIFE INSURANCE ..How to Fight a STOLI Scheme: Court Rulings Offer Clues ..STOA Schemes Face...more

7/22/2014 - Compliance Enforcement Enforcement Actions PBGC Private Equity Property Insurance SEC Title Insurance

New FINRA Supervision Rules May Require Immediate Action

The SEC approved FINRA’s major reworking of its rules governing broker-dealers firms’ supervision of their offices and associated persons. Firms must comply with the new rules by December 1, 2014. This may require some firms...more

7/21/2014 - Amended Regulation Broker-Dealer FINRA SEC Supervision

Mutual Funds Get Congressional Help Against FSOC

Some members of Congress have come to the aid of the investment management industry in its battle to avoid determinations by the Financial Stability Oversight Council (FSOC) that any mutual funds or investment advisers...more

7/16/2014 - Dodd-Frank FSOC Legislative Committees Mutual Funds Proposed Legislation

More Due Diligence For Investments In Private Funds

The SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a January 28, 2014 Risk Alert summarizing current practices and trends in how investment advisers conduct due diligence on private funds they recommend...more

4/29/2014 - Compliance Due Diligence OCIE Private Funds SEC

Rule 506: Too Cumbersome For Private Offerings?

The SEC has been pursuing several initiatives that, taken together, would significantly increase the difficulties and uncertainties presented by the securities registration exemption found in Rule 506 of Regulation D....more

4/28/2014 - FINRA OCIE Regulation D Rule 506 Offerings SEC

Expect Focus - Volume 1, Winter 2014

In This Issue: - IN THE SPOTLIGHT ..Sixth Circuit Revisits Controversial ERISA Decision - LIFE INSURANCE ..Summary Judgment Victory for Life Insurer in Annuity Class Action ..Favorable Secondary Life Market...more


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