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New SEC Identity Theft Red Flag Regulations Call Attention to Investment Advisers

It is probably fair to say most registered investment advisers, at least those below a certain size, did not pay a great deal of attention to the anti-identity theft, or “red flag” rules jointly adopted by the Federal Trade...more

Follow-On Shareholder Suits After CFPB Settlements - From the Experts

Originally published in Corporate Counsel on March 4, 2013. Federal regulators landed the first blow: Several major credit card companies paid more than half a billion dollars in customer restitution and fines as part of...more

Advertising Law -- March 1, 2012

In This Issue: FCC Issues New Regs on Robocalls Lack of Magnetic Attraction Leads to False Ad Suit SEC Cautions Advisers About Risks of Social Media Google’s Privacy Changes Result...more

Revised 2012 Hart-Scott-Rodino Antitrust Thresholds Announced

On January 24, 2012, the Federal Trade Commission announced new thresholds for Hart-Scott-Rodino (HSR) Act filings. The HSR Act requires parties to notify the Federal Trade Commission (FTC) and Department of Justice...more

Fraud, Manipulation and Deception: CFTC/SEC Proposed Rules

On November 3, 2010, both the Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC”) proposed rules under the new anti-manipulation and anti-fraud provisions of the Dodd-Frank Wall...more

CFTC Solicits Comments on How the Trading of Agricultural Swaps Should Be Governed

On September 28, 2010, the Commodity Futures Trading Commission (CFTC) issued an Advanced Notice of Proposed Rulemaking (ANPRM) requesting public comments on the appropriate conditions, restrictions, or protections that...more

SEC v. Goldman Sachs & Co. and Fabrice Tourre

SEC v. Goldman Sachs & Co. and Fabrice Tourre Complaint (Form 8-k)

The Commission brings this securities fraud action against Goldman, Sachs & Co. (“GS&Co”) and a GS&Co employee, Fabrice Tourre(“Tourre”), for making materially misleading statements and omissions in connection with a...more

Quarterly Cleantech Update: Green Marketing, "Greenwashing," and False Advertising

With increasing concern over issues such as global warming, skyrocketing gas prices, sustainability, and other human impacts on natural resources, consumers are, more than ever, considering the environmental impacts of...more