Securities Law, Antitrust & Trade Regulation

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

by Charles Hertlein, Jr. | Dinsmore & Shohl LLP on 5/21/2013

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

In re LIBOR-Based Financial Instruments Antitrust Litigation: A Long Road Ahead

by Susan E. Foster | Perkins Coie on 5/17/2013

In a self-described “unexpected” ruling for the defendants in the consolidated LIBOR proceedings, Judge Naomi Reice Buchwald has dismissed the private plaintiffs’ antitrust and Racketeer Influenced and Corrupt Organizations...more

Four Key Board Responsibilities for Monitoring Risk and Compliance

by NAVEX Global on 5/13/2013

Introduction: High Pressure Regulatory Environment - Now more than ever, there is increased regulatory pressure on organizations – and their Boards of Directors – to create and maintain effective ethics and compliance...more

DTCC Sues CFTC Over “Anti-Competitive Swap Trading Data Rules”

by Elan Mendel | Shipkevich PLLC on 5/6/2013

The Depository Trust & Clearing Corp. (DTCC) sued the Commodity Futures Trading Commission (CFTC) on Friday claiming that the derivatives regulator made “anti-competitive rules,” regarding swap trading data, that favor two...more

S&C's Cohen: Brown-Vitter Punishes Banks For Being Big [Video]

by Bloomberg Law on 5/3/2013

May 3 (Bloomberg Law) -- Rodge Cohen, partner at Sullivan & Cromwell who represents the nation's largest banks, talks with Bloomberg Law's Lee Pacchia about the concept of Too Big To Fail and a recent proposal from Senators...more

“Red Flag” Compliance Requirements Come to Investment Advisors, Broker-Dealers

by Mintz Levin - Privacy & Security on 4/12/2013

It has been several years since the Federal Trade Commission’s Red Flag Rule took effect; and the banking regulators have had the Red Flag Interagency Guidance in place since 2007. Finally, entities regulated by the...more

Final Red Flags Rules Adopted By SEC And CFTC

by David Jenson | Leonard, Street and Deinard - Dodd-Frank and... on 4/11/2013

Today the CFTC and the SEC jointly issued final rules that require regulated entities to adopt programs designed to prevent identity theft – so-called “red flags” rules....more

Credit Crunch Digest -- March 2013

by Jennifer Quinn Broda, Ryan Chapoteau, Matthew Ferguson, Todd McCormick, Thomas R. Orofino, Eric C. Scheiner | Sedgwick LLP on 4/2/2013

This issue of the Credit Crunch Digest focuses on developments in antitrust-based Libor claims against major banks; the status of European Union investigations into Libor manipulation; developments in IndyMac-related...more

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

by Michael W. Jahnke, Michael Thurman | Loeb & Loeb LLP on 3/21/2013

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

Second Circuit Rules That Putative Auction Rate Securities Class Action Complaints Failed to Adequately Plead Antitrust Conspiracy

by Rena Andoh | Sheppard Mullin Richter & Hampton LLP on 3/14/2013

In Mayor and City Council of Baltimore v. Citigroup, Inc., No. 10-0722-cv(L) and 10-0867-cv(CON), 2013 WL 791397 (2d Cir. Mar. 5, 2013), the United States Court of Appeals for the Second Circuit upheld the dismissal of two...more

“How To Guide” to Basic Derivatives and Structured Products

by Pepper Hamilton LLP on 2/26/2013

This presentation was originally delivered to the New York City Bar on changes to swaps and derivative products for corporate end-users resulting from the Dodd-Frank Wall St. Reform and Consumer Protection Act of 2010. You...more

California Attorney General Brings Action Against Standard and Poor’s

by Orrick - Structured Finance Group on 2/20/2013

On February 5, the Attorney General of California, Kamala D. Harris, filed suit in Superior Court in California against Standard & Poor’s and its parent company, the McGraw Hill Company. The Complaint alleges violations of...more

February 2013: Libor Litigation Update

by Quinn Emanuel Urquhart & Sullivan, LLP on 2/18/2013

UBS and Barclays Acknowledge Making False Libor Submissions. Investigations into misconduct at UBS and Barclays have revealed pervasive corruption of the London Interbank Offered Rate (“Libor”), which provides a benchmark for...more

Merger Control in Africa

by Ali Boroumand, Melina Koubemba, Jean-François Mercadier | Heenan Blaikie LLP on 2/18/2013

Created in 1994, the Common Market for Eastern and Southern Africa (the “COMESA”) is an organisation currently comprised of 19 African countries which aim at promoting regional integration in Eastern and Southern Africa (the...more

Hart-Scott-Rodino Reporting Thresholds To Increase, Clayton Act Section 8 Interlocking Directorates Thresholds Increased

by Betsy Kristoferson, Barry Reingold | Perkins Coie on 2/15/2013

The Federal Trade Commission (FTC) recently announced that the reporting thresholds under Section 7A of the Clayton Act, known as the Hart-Scott-Rodino (H-S-R) Antitrust Improvements Act of 1976 (the Act), will be increased. ...more

Aquila: M&A Looking Up in 2013; "The Negatives Are Built In" [Video]

by Bloomberg Law on 2/15/2013

15 Feb. (Bloomberg Law) -- Frank Aquila, partner at Sullivan & Cromwell, talks with Bloomberg Law's Lee Pacchia about the prospects for mergers and acquisitions activity in 2013. Aquila notes that while 2012 was something of...more

The FTC Giveth and the FTC Taketh Away: New Proposed Premerger Notification Rules

by Mark Cohen, Scott Thomson | Cohen & Gresser LLP on 2/14/2013

The Hart-Scott-Rodino (HSR) Act requires qualifying companies to file a premerger notification with the FTC and Department of Justice Antitrust Division (the “Division,” and together with the FTC, the “Agencies”), pay a...more

Higher Filing Thresholds for HSR Act Premerger Notifications Effective February 11, 2013

by Malika Levarlet, Robert Magielnicki | Sheppard Mullin Richter & Hampton LLP on 2/14/2013

Higher thresholds for premerger filings under the Hart-Scott-Rodino Antitrust Improvements Act of 1976 became effective on February 11, 2013. The filing thresholds are revised annually, based on the change in gross national...more

Ticking Time Bomb: Private LIBOR Litigation

by Michael Volkov on 2/13/2013

One by one global banks are being ensnared in the LIBOR prosecution net. Late last year UBS, the Swiss banking giant, entered into a massive settlement in which it agreed to pay approximately $1.5 billion in fines and...more

Unfiltered Orange | Weekly eDiscovery News Update – February 13, 2013

by Rob Robinson on 2/13/2013

Recognized nationally in Forbes’ Law and Technology Blog as a leading source of trusted eDiscovery information, Orange Legal Technologies’ Unfiltered Orange newsletter is published weekly to provide legal and technology...more

S&P Seeks Declaration That Credit Ratings Are Immune From Liability

by Orrick - Structured Finance Group on 2/11/2013

On February 5, two Standard & Poor’s entities filed a declaratory judgment action in the Southern District of South Carolina seeking to bar the South Carolina Attorney General from suing S&P under South Carolina’s Unfair...more

FTC Proposes Amendments To The Hart-Scott-Rodino Rules Regarding Withdrawal Of A Premerger Notification Filing

by Sheppard Mullin Richter & Hampton LLP on 2/11/2013

On February 1, 2013, the Federal Trade Commission (FTC) published a notice of proposed rulemaking in the Federal Register to amend the Rules under the Hart-Scott-Rodino Antitrust Improvements Act of 1976 regarding the...more

FTC Proposes Rules for Withdrawal of HSR Merger Filings

by Daniel E. Hemli, Jacqueline R. Java | Bracewell & Giuliani LLP on 2/7/2013

The Federal Trade Commission (FTC) has proposed formalizing its process for handling withdrawals of merger notifications under the Hart-Scott-Rodino (HSR) Act in order to better allocate its resources. The proposed changes to...more

Unfiltered Orange | Weekly eDiscovery News Update – February 6, 2013

by Rob Robinson on 2/7/2013

Recognized nationally in Forbes’ Law and Technology Blog as a leading source of trusted eDiscovery information, Orange Legal Technologies’ Unfiltered Orange newsletter is published weekly to provide legal and technology...more

New Hart-Scott-Rodino Act Filing Thresholds Take Effect on February 11, 2013

by Tammy Imhoff | Dinsmore & Shohl LLP on 2/6/2013

The Federal Trade Commission (“FTC”) recently announced the 2013 filing thresholds under the Hart-Scott-Rodino Act (“HSR”). The thresholds determine whether parties involved in mergers, acquisitions, transfers of voting...more

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Securities Law › Antitrust & Trade Regulation

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

In re LIBOR-Based Financial Instruments Antitrust Litigation: A Long Road Ahead

Four Key Board Responsibilities for Monitoring Risk and Compliance

DTCC Sues CFTC Over “Anti-Competitive Swap Trading Data Rules”

S&C's Cohen: Brown-Vitter Punishes Banks For Being Big [Video]

“Red Flag” Compliance Requirements Come to Investment Advisors, Broker-Dealers

Final Red Flags Rules Adopted By SEC And CFTC

Credit Crunch Digest -- March 2013

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

Second Circuit Rules That Putative Auction Rate Securities Class Action Complaints Failed to Adequately Plead Antitrust Conspiracy

“How To Guide” to Basic Derivatives and Structured Products

California Attorney General Brings Action Against Standard and Poor’s

February 2013: Libor Litigation Update

Merger Control in Africa

Hart-Scott-Rodino Reporting Thresholds To Increase, Clayton Act Section 8 Interlocking Directorates Thresholds Increased

Aquila: M&A Looking Up in 2013; "The Negatives Are Built In" [Video]

The FTC Giveth and the FTC Taketh Away: New Proposed Premerger Notification Rules

Higher Filing Thresholds for HSR Act Premerger Notifications Effective February 11, 2013

Ticking Time Bomb: Private LIBOR Litigation

Unfiltered Orange | Weekly eDiscovery News Update – February 13, 2013

S&P Seeks Declaration That Credit Ratings Are Immune From Liability

FTC Proposes Amendments To The Hart-Scott-Rodino Rules Regarding Withdrawal Of A Premerger Notification Filing

FTC Proposes Rules for Withdrawal of HSR Merger Filings

Unfiltered Orange | Weekly eDiscovery News Update – February 6, 2013

New Hart-Scott-Rodino Act Filing Thresholds Take Effect on February 11, 2013

S&C's Cohen: Brown-Vitter Punishes Banks For Being Big [Video]

Aquila: M&A Looking Up in 2013; "The Negatives Are Built In" [Video]

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