Read Securities Law news, alerts, and legal commentary from leading lawyers and law firms:
Compliance Advice on SEC’s Market Access Rule from Julie Dixon of Titan Regulation
Lawyer: European M&A Could Rise Despite Risks
Bill on Bankruptcy: The Market's Unquenchable Thirst for Junk
Are Political Intelligence Practice Groups Too Risky?
Greenberger: Derivatives Legislation Would Seriously Weaken Dodd-Frank
Bill on Bankruptcy: Lehman Test Case on Judicial Nullification
S&C's Cohen: Brown-Vitter Punishes Banks For Being Big
Cohen: Cyprus Is Not A Template For Future Restructurings
Release of new book on the 'Best Practices Under the FCPA and Bribery Act"
Bill on Bankruptcy: Kodak Plan Bumps the Debt, Craters Stock
STOCK Act Loses Much of Its Teeth, but Members of Congress Aim to Change That
Lessons Learned from the Parker Drilling DPA and Ralph Lauren NPA
Bill on Bankruptcy: Lawyers Easily Make Simple Words Complicated
Raj Mahajan, Allston Trading CEO, Talks HFT and the Business of Prop Trading
Lessons Learned from the BizJet Executives FCPA Enforcement Actions
Konczal: Dodd-Frank Reforms Get Roughed Up in Court
Bill on Bankruptcy: ResCap Report, a Bargain at $83 Million
Sullivan & Cromwell's M&A Hotline is Ringing
Bill on Bankruptcy: Stockton May Win the Battle, Lose the War
NFA Chairman Chris Hehmeyer Talks Bankruptcy Reform
An insured federal depository institution may request a transition period to comply with the “push-out” requirements of section 716 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”)...more
In an attempt to limit the flight of deposits from insured depository institutions resulting from the 2008 fiscal crisis, Section 343 of the Dodd-Frank Wall Street Reform and Consumer Protection Act provided temporary,...more
Table of Contents: Introduction; Financial Stability Reform; Resolution Planning; Agencies and Agency Oversight Reform; Securitization Reform; Derivatives Regulation; Investor Protection Reform; Credit Rating Agency...more
On 19 December 2012, the European Commission (the Commission) adopted implementing rules (the Regulation) for the Directive on Alternative Investment Fund Managers (the AIFMD or Directive). The Regulation supplements certain...more
Introduction - In a recent decision, the Sixth Circuit upheld a Northern District of Ohio decision rejecting the long-held rule that a policyholder’s settlement with an underlying insurer for less than full policy limits...more
On October 31, the OCC proposed to amend its retail foreign exchange rule for transactions with collective investment funds and insurance company separate accounts by treating them as if they were not retail customers under...more
In the wake of the subprime mortgage meltdown and ensuing global credit crisis, the SEC is more devoted than ever before to examination and enforcement efforts directed at the mutual fund industry. The class action bar also...more
On September 26, the “Prudential Regulators,” which are, collectively, the Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, the Farm...more
On September 24, the Joint Forum, which brings together the Basel Committee on Banking Supervision, the International Organization of Securities Commissions, and the International Association of Insurance Supervisors to...more
When self-regulatory organizations (“SRO”), such as the Financial Industry Regulatory Authority (“FINRA”), commence an investigation or proceeding, member firms are typically concerned with the financial impact that both the...more
During the 2008-09 global financial crisis, no major U.S. insurance company became insolvent. However, the mammoth AIG empire shook to its core and exacerbated a worldwide financial crisis due to the activities of a...more
Yesterday, the Commodity Futures Trading Commission (CFTC) approved final rules and interpretative guidance (Final Rules) to (1) further define the terms “swap,” “security-based swap” and “security-based swap agreement,” (2)...more
In this issue: - SEC Reopens Comment Period for Proposed Amendments to Broker-Dealer Financial Responsibility and Related Rules - NASDAQ Proposes to Institute an Excess Order Fee - Second Amendment to Effective...more
In This Issue: Financial Industry Developments · FHFA Roadmap for Fannie and Freddie · Fed Mortgage Loan Servicing Action Plans · Administration Support for Homeowners · FHA Price Cuts to the...more
On February 7, 2012, the Municipal Securities Rulemaking Board (“MSRB”) issued for public comment draft interpretive Notice No. 2012- 04 (the “Notice”). The Notice provides an interpretation of...more
Last year ended with a bang on the FCPA front, with the announcement of two large settlements. The settlements took the U.S. government’s collection for FCPA penalties and disgorgement in 2011 over the half-billion dollar...more
On December 5, the Insurance, Housing and Community Opportunity Subcommittee of the House Committee on Financial Services approved H.R. 3559. 3559 addresses a sensitive issue regarding the proposed power of the Federal...more
Topics In This Issue • Federal Issues • State Issues • Courts • Firm News • Mortgages • Banking • Consumer Finance • Securities • Insurance • Litigation • Privacy/Data Security • Credit...more
The Board of Directors of the Federal Deposit Insurance Corporation (FDIC) on December 18 approved a final rule to include Interest on Lawyer Trust Accounts (IOLTAs) in the temporary unlimited deposit coverage for...more
On December 15, the Board of Directors of the Federal Deposit Insurance Corporation (FDIC) voted on a final rule to set the insurance fund’s designated reserve ratio (DRR) at 2% of estimated insured deposits. The Dodd-Frank...more
When the Securities Act of 1933 was enacted 77 years ago, it was clear that annuity and life insurance products were not securities and were not subject to that Act. However, insurance products have evolved substantially...more
Sutherland continues to track the implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Act). Title I of the Act established the Financial Stability Oversight Council (Council), and the Council...more
Topics In This Issue • Federal Issues • State Issues • Courts • Firm News • Mortgages • Banking • Consumer Finance • Securities • Insurance • Litigation Excerpt from "Federal Issues" FHFA...more
In an ambitious move to craft legislation that will override state case law on corporate governance, potentially challenge the federal securities laws as the primary source of the requirement to disclose corporate risk...more
The Conference Committee bill passed by the joint House-Senate conferees on June 25, 2010 (the “Conference Bill”), contained an amendment limiting the Securities and Exchange Commission’s (the “SEC”) jurisdiction over certain...more
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