Administrative Agency General Business

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The Skies Are Alive With the Sound Of Drones: The FAA Implements Drone Registration Requirements

It happened again—another incident involving an errant drone and a resident from the Garden State. As reported by various news sources, a New Jersey man attempted to photograph the Empire State Building with his drone. He was...more

In Flannery v. SEC, First Circuit Rebukes Commission, Signals Departure from Deferential Review

On December 8, 2015, the U.S. Court of Appeals for the First Circuit ruled in Flannery v. SEC that the Securities and Exchange Commission lacked substantial evidence in finding securities law violations by two executives in...more

Is point-of-sale drone registration next? Retailers say no way

In the first 30-days of drone registration, nearly 300,000 owners have registered their drones. The Federal Aviation Administration’s (FAA) small drone user registration has sparked much debate, and now, the FAA is...more

US Supreme Court upholds wholesale demand response

The Supreme Court of the United States has issued an opinion upholding regional electricity grid operators' ability to operate wholesale demand response programs under federal authority. In that opinion, FERC v. Electric...more

Calculating SEC Civil Money Penalties: Do Hundreds of Related Acts Constitute a Single Course of Conduct or Hundreds of Separate...

In addition to going to court to seek sanctions, the Securities and Exchange Commission may impose civil money penalties in its own administrative proceedings on any person who violates, or causes a violation of, the federal...more

2015 Securities Law Developments

On balance, the securities litigation landscape in 2015 offered a glass half-full/glass half-empty perspective for issuers and their officers, directors and advisors. Omnicare, Inc. v. Laborers District Council Construction...more

Nine U.S. Senators Urge Obama Administration to Issue Title III Website Regulations ASAP

In late December, nine Democratic senators (Edward J. Markey (D-Mass), Elizabeth Warren (D-Mass.), Sherrod Brown (D-Ohio), Cory A. Booker (D-N.J.), Barbara A. Mikulski (D-Md.), Richard Blumenthal (D-Conn.), Benjamin L. Cardin...more

Recent SEC Actions Highlight Adviser Responsibilities With Respect to Performance Advertising

In a series of recent administrative proceedings, the Securities and Exchange Commission (the “SEC”) has clarified its expectations regarding the use of performance data in investment adviser advertisements. Specifically,...more

SEC Judge Lenient Toward Compliance Employee

Previously, we described how some recent SEC officials’ enforcement actions and statements could suggest a movement toward holding chief compliance officers (CCOs) strictly responsible for legal violations their compliance...more

SEC Issues Proposed Changes to Administrative Proceedings

Amid controversy over its increased use of administrative proceedings to bring enforcement cases, the SEC has recently proposed several reforms. For instance, one change would ease the deadlines by which an initial decision...more

New EU Regulation on Securities Financing Transactions and Reuse of Collateral

Regulatory context - The regulation on transparency of securities financing transactions and of reuse (the “Regulation”) stems from a belief that the 2007-08 global financial crisis revealed excessive speculative...more

"4th Antitrust Set" of amendments

On 5 October 2015 the President of the Russian Federation signed the Federal Law No. 275-FZ "On Amending the Federal Law "On Protection of Competition" and Other Legal Acts of the Russian Federation", so-called the "4th...more

Client Alert on Regulations of Licensing in Azerbaijan

On 21 December 2015 the President of the Republic of Azerbaijan signed a Decree On certain measures in the area of licensing....more

Do The FAA’s New Drone Registration Regulations Apply to You?

On December 14, 2015, the Federal Aviation Administration (FAA) released its interim final rule (IFR) governing the registration of small unmanned aircraft systems (sUAS), or drones, which becomes effective next Monday -...more

The Year in Review: Ten Trends in SEC Enforcement Actions

As 2015 winds down, we offer the following observations about 10 important trends in SEC enforcement actions. 1. Increased Number of Enforcement Actions - The number of SEC enforcement actions continues to grow. In FY 2015,...more

The Hong Kong Competition Ordinance - December 2015, the D Day

On 14 June 2012, the Hong Kong Legislative Council passed the first cross-sector competition law in Hong Kong, the Competition Ordinance (Ordinance). The Ordinance created the Competition Commission (the Commission), which...more

Tell Me, Tell Me, Where I’m Going: Recent FDA Presentation Offers a Crystal Ball Into Medical Device Inspectional Priorities and...

In this Bulletin, we highlight some of these findings, which provide a glimpse into FDA’s priority concerns and should help companies proactively and properly plan for their next inspections. To paraphrase from the rock band...more

Revised Capital Markets Act: Amendments to Regulatory and Criminal Enforcement Provisions

The recently released revised consultation draft of the Capital Markets Act (CMA) for the proposed Cooperative Capital Markets Regulatory System (Cooperative System) includes changes to the proposed rules around regulatory...more

SEC Tees Up Newman & Admin Forum Issues for 2016

The SEC granted two petitions for review last week that tee-up significant issues for full Commission consideration late next Spring. The Commission will consider the application of the Second Circuit’s Newman decision...more

A 1,500-Day Ordeal: First Circuit Rebukes SEC for In-House Prosecution

Five years after the SEC brought charges that cost two fund executives their jobs, the U.S. First Circuit overturned the sanctions, chiding the SEC for misreading critical evidence, lacking substantial evidence for its...more

Regulatory Update: It's OK to Agree: The High Court of Australia Endorses Agreed Civil Penalties

Regulators and businesses can once again make joint submissions to the court proposing agreed penalties in civil penalty proceedings, after the High Court of Australia unanimously reversed a Full Federal Court decision that...more

An Evolving Landscape: Timeliness of government disallowance of expenses contained in incurred cost proposals may depend on...

The last three years have seen a run of Contract Disputes Act (CDA) statute of limitations (SOL) cases involving contractor incurred cost proposals (ICP). The sledding has been more difficult for contractors after the Federal...more

[Webinar] 2016 OIG Work Plan: Focus on Compliance - Dec. 10th, 12:00pm ET

This webinar will include an overview of OIG’s new and ongoing areas of focus related to hospitals and physicians. The focus of the discussion will be the practical impact of these key enforcement priorities on planning and...more

How the FAA’s Announcement Regarding Drone Registration May Affect Drone Use in Construction

Use of unmanned aerial vehicles (UAV) and unmanned aircraft systems (UAS) (aka drones) in construction is rapidly increasing and expanding. Drones have been and can be used for a variety of functions, such as imaging (i.e.,...more

When Do Data Security Breaches Cause Substantial Consumer Harm? Lessons from the LabMD FTC Complaint Dismissal

On November 19, 2015, an Administrative Law Judge (the “ALJ”) at the Federal Trade Commission (“FTC”) dismissed the FTC’s 2013 complaint against LabMD, a clinical testing laboratory, stating that the FTC failed to demonstrate...more

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