Securities Administrative Agency Antitrust & Trade Regulation

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Notification Threshold Under the Hart-Scott-Rodino Act Increased to $70.9 million

The Federal Trade Commission recently announced higher reporting thresholds for pre-merger notifications filed on or after February 11, 2013. The U.S. Federal Trade Commission (FTC) recently announced revised thresholds for...more

FTC Announces Increases to Thresholds for Pre-Merger Notification and Limitations on Interlocking Directorates

On Jan. 10, 2013, the Federal Trade Commission made its annual announcement of revisions to thresholds that determine whether companies must abide by the pre-merger filing and waiting period requirements set forth in the...more

FTC Raises Hart­-Scott­-Rodino Thresholds

Transactions closing as of February 11 will be subject to increased HSR Act jurisdictional and filing fee thresholds. On January 10, the Federal Trade Commission (FTC) announced that it will raise the Hart-Scott-Rodino...more

Corporate and Financial Weekly Digest - January 4, 2013

In this issue: - CII Submits Rule 10b5-1 Rulemaking Petition to the SEC - ISS Publishes Updated FAQs for its Proxy Voting Policies - CFTC Issues Final Order on Cross-Border Swaps - CFTC Issues No-Action...more

Corporate and Financial Weekly Digest - December 14, 2012

In this issue: - CFTC Issues No-Action Letters - SEC Division of Investment Management Lifts Actively-Managed ETF Derivatives Use Moratorium and Announces Two Rulemaking Initiatives - Antitrust “Tying” Claims...more

CSRC Further Opens China’s Investment Banking Market – But Just a Little

The China Securities Regulatory Commission (“CSRC”) recently amended the Rules on the Establishment of Foreign-Invested Securities Companies (????????????; the “FISC Rules”) to raise the cap on the permissible foreign stake...more

Energy Newsletter - September 2012

In This Issue: - REGULATORY: - Environmental: EPA’s Rules Affecting the U.S. Power Sector; Taking On EPA’s Rules Effectively Banning New Coal-Fired Generation - EU Competition Law: Czech Energy...more

China 20/20: Legal & Regulatory Developments - May 2012

In This Issue: - MOFCOM Improves the Filing Administration of Foreign Invested Venture Capital Enterprises - Supplementary Provisions to the Measures Governing Foreign Invested Commercial Enterprises -...more

Shots Across The Bow: How FERC’s Recent Actions Demonstrate A Change In Emphasis And Focus For FERC Enforcement

The Federal Energy Regulatory Commission (“FERC”) recently sent several strong signals that it intends to ramp up anti-manipulation enforcement efforts in the energy trading markets, including potentially taking aim at...more

SEC and CFTC Propose Identity Theft Red Flag Rules

On March 6, 2012, the SEC and CFTC jointly proposed rules (the “Proposal”) that would require registered broker-dealers, investment companies, investment advisers, commodity trading advisors, commodity pool operators and...more

Financial Services Legislative And Regulatory Update -- March 12, 2012

In This Issue: Leading the Past Week; Legislative Branch; House of Representatives; White House; SEC; CFTC; FTC; Miscellaneous; and UPCOMING HEARINGS. Excerpt from Leading the Past Week With the end of the week...more

Antitrust Inspections in The Energy Exchange Market

On 7 February, the European Commission (EC) and the European Free Trade Association (EFTA) Surveillance Authority conducted unannounced inspections in the energy exchange market. Representatives of Nord Pool Spot...more

Aon Nets an NPA

In December, 2011, the insurance giant Aon received a Non-Prosecution Agreement (NPA) from the Department of Justice (DOJ) in settling enforcement actions against it by the DOJ and Securities and Exchange Commission (SEC)....more

IOSCO Publishes Commodity Derivatives Markets Supervisory Principles

The Technical Committee of the International Organization of Securities Commissions (IOSCO) published a report, prepared by the IOSCO Task Force on Commodity Futures Markets, on principles for the regulation and supervision...more

Does FINRA Accurately Seed Enforcement Issues?

Law360, New York (May 17, 2011) -- Earlier this spring, with much anticipation, American sports fans waited for the announcement of the NCAA men’s basketball tournament seeds on Selection Sunday. Many wondered whether Duke...more

research paper

Research paper on corporate ethics the Sarbanes/Oxley Act with summary....more

CFTC and FTC Sign MOU Regarding Sharing of Non-Public Information

The Commodity Futures Trading Commission and the Federal Trade Commission (FTC) have signed a Memorandum of Understanding (MOU) to facilitate the sharing of non-public information between the agencies in connection with...more

Foreign Corrupt Practices Act Newsletter - February 04, 2011

In this issue: Is Anyone Not a Foreign Official Under the FCPA?; and Foreign Bribery: Feds Aggressively Use FCPA And the Money Laundering Statute. Excerpt from 'Is Anyone Not a Foreign Official Under the FCPA?'...more

Corporate and Securities Alert - “Say on Pay” Final Rules

On January 25, 2011, the SEC issued final rules (“Final Rules”) designed to implement provisions of the Dodd-Frank Act relating to shareholder approval of executive compensation and golden parachute compensation arrangements....more

Roundtable: Outlook For Hedge Funds - January 2011

Following a period of high performance, the financial crisis brought difficult conditions for the hedge fund industry. During 2010 the continued fallout from Madoff and other fraud cases, along with the new provisions of the...more

Federal Trade Commission Revises Hart-Scott-Rodino Thresholds

Hart-Scott-Rodino Thresholds As it does every year at this time, the Federal Trade Commission (FTC) has issued revised Hart-Scott-Rodino Act (HSR) jurisdictional thresholds for the upcoming year. The FTC is required by law...more

Antitrust Alert: New HSR Thresholds for 2011

The annual adjustment of the dollar thresholds for pre-acquisition filings under the Hart-Scott-Rodino Act will take effect February 24. All transactions closing on or after the effective date will be governed by the new...more

New HSR Filing Thresholds for 2011

On January 21, 2011, the U.S. Federal Trade Commission, the agency charged with administering the Hart-Scott-Rodino Antitrust Improvements Act of 1976 (the “HSR Act”), as amended, and its filing requirements, announced the...more

New Sentencing Guidelines Amendments Amplify the Importance of an Effective Compliance Program

The U.S. Sentencing Commission issued several amendments to the Federal Sentencing Guidelines in 2010. Among the amendments are two that deal specifically with corporations or "organizational defendants." The frst...more

Model Privacy Forms

As you may be aware, on November 16, 2009, various Federal regulatory agencies, including the Securities and Exchange Commission (the Commission), the Commodity Futures Trading Commission, the Federal Trade Commission, and...more

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