Administrative Agency General Business

Read need-to-know updates, commentary, and analysis on Administrative Agency issues written by leading professionals.
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The Public-Private Partnership Law Review: France

In France, public-private partnerships (PPPs) are implemented in many economic sectors (e.g., transport, health, justice, education, urban equipment, environment, energy efficiency, telecommunications and culture) for more...more

Three Key Takeaways from the Nu Skin FCPA Settlement for a Corrupt Charitable Donation

In a rare enforcement action, the SEC settled an FCPA enforcement action for $766,000 for a charitable donation of $154,000 to improperly influence a high-ranking Chiese Communist party official to prevent a provincial agency...more

NLRB Signs Off On Narrow Confidentiality Provision for Employee Reinstatement Agreements

In the recent case of S. Freeman & Sons, Inc., the National Labor Relations Board confronted the question of “whether an employer can require an employee to keep confidential the terms of a settlement agreement in exchange...more

The SEC Wins First Jury Trial in a Muni Case: SEC v. City of Miami and Michael Boudreaux

In what the SEC called “the first federal jury trial by the SEC against a municipality or one of its officers for violations of the federal securities laws,” a jury in the U.S. District Court for the Southern District of...more

Investment Management Update

The Securities and Exchange Commission Adopts Amendments to Form ADV and Investment Adviser Act Rules - The Securities and Exchange Commission (SEC) adopted amendments to Form ADV and Investment Advisers Act of 1940...more

The Ethics Advisor: The Details Matter — Recusing Yourself Due to Conflict of Interest

Once, when I had put a lot of time and attention into arranging the particulars of social engagement, an old acquaintance called me a “detallista.” At the time, I think she may have meant it more as a slight than a...more

Tilton Tilts at SEC Enforcement, Again

Having lost her initial suit (and appeal) to enjoin an SEC administrative enforcement action against her, the so-called “diva of distressed,” Lynn Tilton recently filed another lawsuit trying to halt her upcoming October 24...more

Tennessee Securities Division Ramps Up Enforcement

The Securities Division of Tennessee’s Department of Commerce and Industry has increased its enforcement activity during 2016. The recent actions include: Final Administrative Orders: Clifton Alexander and HugeROI.com...more

Spruce Up Survives, But a Successor's First Communication to a Predecessor's Employees is More Critical Than Ever

In Paragon Systems, Inc., 364 NLRB No. 75 (2016), the National Labor Relations Board declined the General Counsel’s request to overturn its 42-year-old decision in Spruce Up Corp., 209 NLRB 194, 195 (1974), enfd. per curiam...more

Expansive Korean Anti -Corruption Law Comes into Force

Korea to introduce “Kim Young-ran Act,” significantly expanding the scope of the anti-corruption regulatory framework. The Improper Solicitation and Graft Act of Korea (the Act), commonly known as the “Kim Young-ran...more

FDIC on Marketplace Lending, Supervisory Appeals and Communication

The latest regulator attempting to rein in controls on the marketplace lending industry is the Federal Deposit Insurance Corp. (FDIC). Marketplace lending to consumer borrowers generally runs through state-chartered banks....more

SEC Sanctions 71 Municipal Issuers for Misstatements

On August 24, the SEC announced settled administrative actions against 71 state and local issuers arising from $3.7 trillion in municipal securities offerings.  The Commission alleged the issuers made false statements...more

SEC’s Use of Form PF in Examinations

The SEC has again published its annual report to Congress regarding how the SEC has used Form PF data. The section on enforcement and investigation describes the use of the data in SEC examinations....more

Board Ties Judges’ Hands In Settling Cases Directly

Seyfarth Synopsis: Overturning 25 years of precedent, the NLRB rules that an ALJ may only enter an order approving and incorporating settlement terms proposed by a respondent over the objections of the General Counsel and...more

Employment Alert: Ninth Circuit Nixes Employee Class and Collective Action Waivers, Calling into Question Future Viability of...

Mandatory employment arbitration agreements suffered a significant blow last week, when the U.S. Court of Appeals for the Ninth Circuit (covering California, Washington, and other western states) found illegal and...more

U.S. Customs And Border Protection Releases Interim Regulations To Implement Enforce Act, Solicits Comments

The Trade Facilitation and Trade Enforcement Act of 2015 (H.R. 644) was signed into law on February 24, 2016. This comprehensive legislation includes the Enforce and Protect Act of 2015 (the “Enforce Act”), which creates a...more

Employer Handbook Policies Violate the National Labor Relations Act

As we recently noted, the National Labor Relations Board (NLRB) is laser-like focused on scrutinizing employer personnel policies. In yet another example of this ongoing campaign, a recent administrative law judge (ALJ)...more

Texas Court Strikes Down Prohibition on Payments for Brand Rights

Late last week, a district judge in Texas declared unconstitutional under the Texas Constitution a provision of the state’s Beer Industry Fair Dealing Law (i.e., the beer “franchise” law) that expressly prohibits a brewer...more

Recent SEC Enforcement Actions Prompt Consideration of Whistleblower Carve-outs

The recent settlement of SEC enforcement actions concerning the Dodd Frank Act’s whistleblower provisions are prompting companies and their counsels to evaluate current and prospective severance and confidentiality agreements...more

2016 Legislative Update: Summary of Changes in School Law

BOARDS OF EDUCATION - ENFORCEMENT OF BINDING PUBLIC ACCESS COUNSELOR OPINIONS - Public Act 99-586 - Effective Date: January 1, 2017 - Individuals who file lawsuits to enforce binding opinions from the PAC...more

SEC Charges 71 Issuers under its Municipalities Continuing Disclosure Cooperation Initiative

On August 24, 2016, the Securities and Exchange Commission (SEC) announced enforcement actions against 71 municipal issuers and other obligated persons (collectively, the municipal issuers) under the SEC’s Municipalities...more

New Rebar Anti Dumping Investigation May Carry Major Implications for Canada’s Construction Industry

On August 19, 2016, the Canada Border Services Agency (“CBSA”) initiated an anti-dumping investigation into concrete reinforcing bar (also known as rebar) imported from Belarus, Chinese Taipei, Hong Kong, Japan, Portugal and...more

SEC Overrules Its Own Administrative Law Judge to Clear Customer of Fraud Charges

In a rare reversal of its own administrative law judge in the Matter of optionsXpress, the full Securities and Exchange Commission unanimously held that the SEC’s Enforcement Division had not met its burden of proof that the...more

NTIS Mandates New Requirements to Access the Death Master File

In June, the National Technical Information Service (NTIS) promulgated a final rule setting out the requirements to become certified to access the Death Master File (DMF). The final rule amends the DMF certification program...more

And Now There Are Two: The Ninth Circuit Strikes Class Arbitration Waivers Joining the Seventh Circuit on Finding that these...

Seyfarth Synopsis: The Ninth Circuit joined the Seventh Circuit and the NLRB in finding that mandatory arbitration agreements that require all claims to be brought by employees on an individual basis violate the NLRA. On...more

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