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Status Updates - November 2014 #6

That’s a lot of latte. It turns out that Starbucks—not a company in the mobile payments business—was the first company to make in-person payments by mobile phone mainstream. According to recent statements by the coffee...more

Status Updates - August 2014 #12

..What’s not to like? The National Labor Relations Board has ruled that an employee’s Facebook “like” approving of another employee’s statements about their employer may constitute “concerted activity” under federal labor...more

New Social Media Guidance for Financial Institutions (Which Might Include You)

The latest extension of the social media puzzle involves financial institutions. But, banks are not the only financial institutions governed by the alphabet soup of regulatory organizations addressing financial services (the...more

Socially Aware - Volume 5, Issue 1 - January/February 2014

In This Issue: FFIEC Issues Final Guidance on Social Media Usage by Financial Institutions; Uncovering a Line in the Sand: Employee Social Media Use and the NLRA; Website Operators Await Final Guidance Regarding...more

FFIEC Finalizes and Clarifies Its Social Media Policy

The Federal Financial Institutions Examination Council (FFIEC) recently released its final supervisory guidance on social media use. In January 2013, we wrote about the FFIEC’s proposed guidance in connection with the...more

Make sure your Plan Service is more than just a typical gimmick

A year or so ago, a good friend of mine who is an ERISA §3(38) fiduciary won a case from a disgruntled broker who claimed that all 3(38) services was just marketing. A 3(38) fiduciary that does a competent job and assumes...more

Social Media for Financial Institutions – Final Guidance

At the end of 2013, the Federal Financial Institutions Examination Council (FFIEC) became the latest regulator to weigh in on social media and offered their final social media guidance. The proposed regulation was released...more

Preventing Exchange Act Reporting Obligations After The JOBS Act

In General - Growing companies need to be aware of the requirements of Section 12(g) of the Exchange Act. If the thresholds of Section 12(g) are crossed, which look principally to the number of shareholders, the...more

New Jersey Becomes the Twelfth State to Enact Social Media Password Protection Legislation; Recent Amendment to Illinois’ Law...

On August 29, 2013, New Jersey became the twelfth state to enact social media password protection legislation, continuing the nationwide trend towards imposing some form of restriction on employer access to the restricted,...more

Marketing Investment Management Services to Public Retirement Systems: Complying with Applicable Laws and Regulations

It is well-known that high-profile jurisdictions such as California and New York City have in certain instances placed lobbyist registration requirements on investment managers that solicit investment advisory business from...more

Pitfalls On Termination: Employer May Be Liable For Employees’ Loose Talk

Even though a Virginia bank properly terminated a bank teller and then warned bank employees not to discuss it, the bank still faced potential liability to the ex-teller for defamation when employees talked about it to...more

Investment Management Legal + Regulatory Update -- May 2013

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

Corporate and Financial Weekly Digest - April 5, 2013

In this issue: - SEC Advisory Committee on Small and Emerging Companies Makes Recommendations - SEC Provides Guidance Regarding Social Media and Regulation Fair Disclosure (Regulation FD) - SEC Amends...more

Around the Virtual World - January 21, 2013

A weekly wrap up of interesting news about virtual worlds, virtual goods and other social media. In This Issue: - USPTO Dives Into Software Patent Debate With New Group - The Hidden Risks Behind Facebook's...more

Corporate Law Report: U.S. Manufacturing, Social Media, Online Endorsements, Hart Scott Rodino, More [Video]

Watch our latest Corporate Law Report for: a word of caution from Pillsbury on using endorsement as part of your online advertising; enforcement predictions for 2013 from Mike Volkov; social media for global corporations from...more

CDFI Loans For Small Business

Small business often finds it difficult to borrow money for operations and growth from commercial banks or other traditional sources of financing. This is especially true in economically distressed communities. Government...more

Socially Aware: The Social Media Law Update -- Vol. 3, Issue 3 -- June 2012

In This Issue: Lawmakers Rush to Ban Employers From Demanding Facebook Passwords; California Provides Social Media Guidance for Financial Institutions; What’s Not to "Like"? Facebook Usage and the First Amendment; New...more

Background Checks: There's An App For That

In January of this year, the Federal Trade Commission (FTC) issued a warning to three companies that sell mobile applications (apps) which provide background reports, including criminal record reports. The issues are whether...more

Federal Bill Would Make Companies That Offshore Call Centers Ineligible For Federal Grants Or Loans

Calling outsourcing "one of the scourges of our economy," Rep. Timothy Bishop (D-N.Y.) has introduced a bill that would make companies that relocate call centers to locations outside of the United States ineligible for...more

ERISA Participant Disclosure Will Not Violate SEC Advertising Rules

In response to a request from the Department of Labor (DOL), the staff of the Securities and Exchange Commission (SEC) on October 26, 2011, issued a no-action letter concluding that disclosure provided by a retirement plan...more

FSA Approves Taping Relevant Communications Conducted on Mobile Phones

The FSA recently set new rules obligating authorised firms to record the ‘relevant communications’ of their employees conducted on mobile and other handheld devices. On 11 November 2010, the UK Financial Services Authority...more

Enforcement Alert: Retain even your contract reps' business-related e-mail - or risk fines

Make sure you have ready access to the e-mail communications that reps are using to conduct business for your firm – even if those reps aren’t your immediate employees. That’s the takeaway from a recent FINRA enforcement...more

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