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Securities Law › Commercial Law & Contracts › Wills, Trusts, & Estate Planning

Read Securities Law news, alerts, and legal commentary from leading lawyers and law firms:

News & Analysis as of May 23, 2013

Orrick - Structured Finance Group

New York State Court Allows Trustee Lawsuit Against DB Structured Products to Proceed

by Orrick - Structured Finance Group on 5/20/2013

On May 13, Justice Kornreich of the Supreme Court of the State of New York denied DB Structured Products, Inc.’s (DBSP) motion to dismiss an RMBS putback action brought against it by the trustee for the relevant RMBS trust. ...more

Morgan Lewis

SEC Settles Suit for Misleading Advisory Contract Approval Disclosure

by David Freese, Sean Graber, Daniel Levin, Richard F. Morris, John O'Brien, Zachary E. Vonnegut-Gabovitch | Morgan Lewis on 5/10/2013

Settlement with mutual fund directors and service providers serves as a reminder of responsibilities for disclosures relating to the approval of investment advisory contracts and provides insight into SEC enforcement...more

Ropes & Gray LLP

SEC Settles with Service Providers and Trustees of two Mutual Fund Trusts for Inaccurate Disclosures Regarding Section 15(c)...

by Ropes & Gray LLP on 5/7/2013

On May 2, 2013, the SEC filed an order instituting settled administrative proceedings against the trustees (“Trustees”) and certain service providers of two “turnkey” open-end series investment companies, Northern Lights Fund...more

Morrison & Foerster LLP

SEC Sanctions Fund Trustees for Inadequate Disclosures and Failure to Follow Compliance Policies

by Jay G. Baris, Kelley A. Howes | Morrison & Foerster LLP on 5/3/2013

The Securities and Exchange Commission today charged the trustees of two “turnkey” mutual fund trusts with causing untrue or misleading disclosures about their review of the funds’ advisory contracts. The Commission also...more

Duane Morris LLP

The Owner’s Manual - Winter 2013

by Duane Morris LLP on 2/25/2013

In This Issue: Introduction; Partnering with Private Equity Firms; Beyond Bank Borrowing: Mezzanine Funds & Growth Captial; The Auction Block: Finding the Right Buyer for Your Company; First Steps: “Don’t Let Your Exit...more

BLG Monthly Update for June 2012

by Neil Guthrie on 6/11/2012

Bad prison food, compensation for sex on the job and neat contracts cases: all this and more in the BLG Monthly Update for June 2012!...more

CJ (Candida) Griffin, Esq.

Unpaid Federal Taxes, Lead to Federal Tax Liens

by CJ (Candida) Griffin, Esq. on 2/22/2012

Proving that celebrities are not above the law, the IRS recently served rapper Lil’ Kim with a tax lien for allegedly dodging more than $1 million in taxes. While it is celebrity tax stories that most often make the...more

Charles E. Rounds, Jr.

The Academics Are Just Plain Wrong: The Trust Is Not a Contract

by Charles E. Rounds, Jr. on 12/1/2011

Since the 1960s, the trust has been under attack on two fronts in the American law school. First, the traditional Trusts course has been down-graded to elective status, a misguided curricular “reform” that Charles E. Rounds,...more

Loeb & Loeb LLP

High Net Worth Family Tax Report, Vol. 6, No. 2

by Loeb & Loeb LLP on 8/3/2011

In This Issue: Table of Contents: California Enacts Legislation Requiring Out-of-State Retailers to Collect Use Tax; SEC Finalizes Rules Exempting Family Offices from Requirement to Register as Investment Adviser;...more

Thomas J. Handler, J.D., P.C.

Family Office Exemption Narrowly Defined by S.E.C.

by Thomas J. Handler, J.D., P.C. on 7/15/2011

Following the stock market crash of 1929 and the Great Depression which followed, Franklin D. Roosevelt’s 1932 democratic campaign platform called for regulation of the securities exchanges “to the full extent of federal...more

Sheppard Mullin Richter & Hampton LLP

New York State Amends Power of Attorney Law

by Sheppard Mullin Richter & Hampton LLP on 9/2/2010

On August 13, 2010, New York State Governor David Paterson signed into law amendments to New York's Power of Attorney Law (A.8392-C/S.7288-A) (the "2010 Amendments"). The 2010 Amendments become effective September 12, 2010...more

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