Polsinelli Podcasts - Be Careful What you Put in Writing - What Companies Need to Know About Document Retention
Jail Time for Revenge Porn Offenses?
FCPA Compliance and Ethics Report-Episode 3-Interview with Marie Patterson, Vice President of Marketing for Hiperos
What you need to know about Canada's new Anti-Spam Law (CASL)
Why Ending FCC Blackout Rules May Be Broadcast TV's Demise
FCC Proposes New Rules On Local Wireless Siting
Data Center Networks – Interview with Jeff Moerdler, Member, Mintz Levin
What to expect from FCC Post-Governement Shutdown
Employer Social Media Policies – Interview with Mitch Danzig, Member, Member, Mintz Levin
Jason Maloni on Data Security
JOBS Act Implementation Regulations
Ernest DelBuono on Aviation
Jack Deschauer on Government Investigations
Polsinelli Podcast - Public Policy Issues in 2013
Condo Adviser: Condominium Rules and Enforcement
Condo Adviser: What is 'FHA approved,' exactly?
Condo Owners and Dealing with Uncooperative Management Companies
Reserve Funds: Purposes and Common Mistakes
Instapundit: America's IP Laws Need to be "Pruned Back"
Polsinelli Podcast - Social Media at Work - What's Allowed and What Isn't?
On July 16, the New York State Bar Association’s Securities Regulation Committee held a meeting to discuss three of the recent developments in securities regulation. The first discussion focused on the Supreme Court’s June...more
In This Issue:
- Can You Keep a Secret? There’s an App for That
- Do Snapchat or Confide Produce “Documents” in the Eyes of the Law? What about Evidence?
- Implications on Securities Fraud and Employment Issues...more
On May 27, 2014, an administrative law judge (ALJ) found ZPR Investment Management, Inc. (ZPRIM) and its former owner, Max Zavanelli, to have violated the Investment Advisers Act of 1940 for publishing misleading...more
Fed Issues a Report on Mobile Financial Services -
On March 25, the Fed issued a report on the use of mobile phones to obtain financial services. Last year, 33 percent of all mobile phone users and 51 percent of...more
In recent weeks, U.S Department of Justice investigations into currency traders have drawn renewed attention to the permanence of even seemingly fleeting communications. In that investigation, the DOJ is looking at, among...more
Fueled by high-profile cases involving Enron, WorldCom, Adelphia, and HealthSouth, accounting and disclosure fraud matters grew to as much as 33 percent of all U.S. Securities and Exchange Commission (SEC) enforcement actions...more
A pair of investment firms recently filed suit against Twitter in the Southern District of New York, alleging that Twitter had fraudulently refused to allow them to sell its private stock in advance of its much-anticipated...more
A recent Massachusetts Securities Division $30 million settlement with Citigroup Global Markets Inc. (“CGMI”) provides a public glimpse into a less-widely known form of non-public information – a research analyst’s preview of...more
As financial institutions and investors turn to social media to instantly share snippets of news and potential clues about market trends, the FBI and SEC are monitoring such postings for evidence of insider trading and...more
Board Oversight of Distribution and Financial Intermediaries -
One of the SEC’s stated focuses is on payments for “distribution in guise.” Mutual funds are only permitted to pay for distribution of their shares if...more
In This Issue:
Regulatory Updates -
SEC Allows Limited Use of Social Media for Public Disclosure; Federal Reserve Board Publishes a Final Rule Specifying when Nonbank Firms are “Predominantly Engaged in...more
On Monday, May 6, 2013, the Securities and Exchange Commission (SEC) charged the city of Harrisburg, Pennsylvania with securities fraud "for its misleading public statements when its financial condition was deteriorating and...more
The inclusion of the public statements of an elected official in allegations of securities fraud could change the traditional relationship between the politicians and their constituency versus issuers and the bond market....more
The Delaware Supreme Court recently held that the dismissal of a shareholder derivative suit by a California federal court had a preclusive effect on a substantially similar suit pending in the Delaware Chancery Court against...more
According to a recently-published PricewaterhouseCoopers report, corporate executives are being named in an alarmingly high percentage of securities class action filings. In 2012, 94 percent of such filings explicitly named...more
In a recent decision, the Delaware Supreme Court reversed the Court of Chancery in Pyott, et al. v. Louisiana Mun. Police Emp. Ret. Sys., et al., holding that a derivative suit against Botox-maker Allergan, Inc. should be...more
On March 11, the SEC announced charges against a private equity firm, a former senior executive of the firm and an individual based solely on the allegation that the individual acted as an unregistered broker-dealer in...more
The annual “SEC Speaks” conference, in which Securities and Exchange Commission (SEC) representatives review the agency’s efforts over the past year and preview the year to come, was held on February 22-23, 2013. A...more
On August 18 2011, the Financial Industry Regulatory Authority, Inc (Finra) issued Regulatory Notice 11-39 providing guidance to its broker-dealer members on social networking websites and business communications.
On April 11, 2011, The Ninth Circuit Court of Appeals affirmed the District Court decision that denied the Winklevoss twins bid to void their settlement agreement with Facebook and Mark Zuckerberg.
In his opinion, Judge...more
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