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FINRA Permits Related Performance Information in Institutional Communications for Registered Closed-End Funds

Introduction In an interpretive guidance letter issued to a registered closed-end fund on June 9, 2017, FINRA permitted the use of “related performance information” in communications that are distributed solely to...more

Judge Bumb Answers Key Question That No One Asked: TCPA Plaintiff Lacks Standing to Recover on Unanswered Calls

by Dorsey & Whitney LLP on

In Watkins v. Wells Fargo Bank, N.A., No. 15-cv-5712 (RMB)(KMW), 2017 U.S. Dist. LEXIS 84503 (D.N.J. June 2, 2017), the defendant challenged a plaintiff’s TCPA claim on MSJ, arguing that the plaintiff could not have revoked...more

Application of the U.S. Risk Retention Rules to “Indenture-Style” Cellular Tower Securizations

by Latham & Watkins LLP on

17 C.F.R. Part 246, adopted jointly by the Securities and Exchange Commission (“SEC”) and five other federal agencies in October of 2014 (the “U.S. Risk Retention Rules”), requires a sponsor of asset- backed securities...more

Structured Thoughts: News for the financial services community, Volume 8, Issue 4

FINRA’s Proposed Amendments to the Corporate Financing Rules – Impact on Structured Notes - In April 2017, FINRA released a set of significant proposed amendments to its Rule 5110, known as the “Corporate Financing Rule.” ...more

In Case You Missed It: Launch Links - April, 2017 #4

by WilmerHale on

Some interesting links we found across the web this week: Once Unicorns, Now Zombies - For entrepreneurs equating success with their startup being labeled the next “unicorn,” Fortune provides some insight as to the...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

In a holiday shortened week the Commission began preparation for argument before the Supreme Court in an action which could have a significant impact on its enforcement program. The question for resolution is whether the...more

Financial Services Quarterly Report - First Quarter 2017: Development of Crowdfunding in France

by Dechert LLP on

During the nascent stages of crowdfunding as a fund raising strategy, there was a great deal of uncertainty in France as to the legality of such activities. In 2014, initial regulations were enacted applicable to crowdfunding...more

SNAP IPO Debuts On NYSE

SNAP Inc., the parent company of Snapchat, went public yesterday with a valuation of approximately $33.4 billion. The Company raised $3.4 billion at $17 per share, and is now trading well above the IPO price. While SNAP has...more

Structured Thoughts: News for the financial services community, Volume 8, Issue 2

Identifying Conflicts of Interest in Structured Products Offerings - With FINRA and other regulators focused on conflicts of interest in the broker-dealer industry, market participants are working diligently to identify...more

All About Blockchain - Top 10 Blockchain Reads in 2016

by JD Supra Perspectives on

A JD Supra list of the top reads on Blockchain matters in 2016....more

SBA Office of Advocacy submits comment letter asking CFPB to reconsider payday loan proposal

by Ballard Spahr LLP on

The Small Business Administration’s Office of Advocacy has submitted a comment letter on the CFPB’s proposed payday loan rule that raises concerns about the proposal’s economic impact on small businesses and encourages the...more

FCC Liberalizes Rules for Foreign Investment in U.S. Broadcast Licensees

On September 30, 2016, the FCC adopted an order designed to liberalize and streamline the foreign ownership review process for broadcast licensees (the “Broadcast Liberalization Order”). Section 310(b) of the Communications...more

Perspective: The Accenture Blockchain Patent

by JD Supra Perspectives on

Blockchain innovators need to understand that they are working in an early-stage, evolving IP landscape where the potential risks are still very difficult to evaluate....more

It's All About Blockchain - Don't Miss These 7 Reads

by JD Supra Perspectives on

Don't miss these seven popular reads on Blockchain....more

FinTech Flash: Marketplace Lending Bank Partner as True Lender

by Goodwin on

In our last FinTech Flash we covered the pros and cons of marketplace lending platform companies entering into bank partnerships. If the arrangement is structured properly, two significant advantages result...more

SBA Office of Advocacy to host Sept. 14 roundtable on CFPB payday loan proposal

by Ballard Spahr LLP on

The Small Business Administration’s Office of Advocacy will host a roundtable in London, Kentucky on September 14, 2016 on the CFPB’s proposed payday loan rule. As the Office of Advocacy is an independent office within the...more

GAO issues report on CFPB SBREFA panels

by Ballard Spahr LLP on

The Government Accountability Office has issued a report on the CFPB’s use of Small Business Regulatory Enforcement Fairness Act (SBREFA) panels in its rulemaking process. The report, “Observations from Small Business Review...more

Realizing Value from Intellectual Property

by McAfee & Taft on

Everyone assumes that intellectual property has value, but how do you determine that value? Can you increase it, and can you damage it?...more

CFPB previews debt collection rule in SBREFA outline

by Ballard Spahr LLP on

The CFPB has moved a step closer to issuing a debt collection rule by releasing an outline of the proposals it is considering in preparation for convening a small business review panel. The Small Business Regulatory...more

CFPB Previews Debt Collection Rule in SBREFA Outline

by Ballard Spahr LLP on

The Consumer Financial Protection Bureau (CFPB) has moved a step closer to issuing a debt collection rule by releasing an outline of the proposals it is considering in preparation for convening a small business review panel....more

Can blockchain live up to the hype?

by DLA Piper on

Is blockchain the revolutionary technology that will rewrite the rules for the finance industry, identifying authenticity and verifying payment flows that arise at a business-to-business level or between business and...more

Amendment to the Development of Telecom Services and Networks Support Act in Poland

by Dentons on

On June 9, 2016, the Lower House of the Polish Parliament passed the Development of Telecom Services and Networks Support and Other Amendments Act, known as “Mega-Act Amendment”....more

FCPA Compliance and Ethics Report-Episode 256-Alison Taylor on stakeholder trust as an integrity risk measure

by Thomas Fox on

In this episode, I visit with Alison Taylor about measuring stakeholder trust as an indicia of your integrity risk. ...more

SEC Issues C&DIs and Small Entity Compliance Guides for Crowdfunding

On May 13, 2016, the SEC issued new Compliance and Disclosure Interpretations (“C&DIs”) on Rules 100 (Crowdfunding Exemption and Requirements), 201 (Disclosure Requirements), 204 (Advertising) and 205 (Promoter Compensation)...more

NASAA Releases Proposed Model Rule for Crowdfunded Offerings

On May 16, 2016, the North American Securities Administrators Association (NASAA) released for public comment its proposed model rule and uniform notice filing form for crowdfunded offerings. ...more

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