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Circuit Court Largely Rejects Challenges To SEC Conflict Mineral Rules

The SEC largely prevailed in the D.C. Circuit Court of Appeals in a suit changing the Rules promulgated by the agency under Dodd-Frank regarding conflict minerals. National Association of Manufacturers v. SEC, No.. 13-5252...more

Out of the Box: Legal guidance for the consumer product + retail industry - Volume 2, Issue 1, Spring 2014

In This Issue: - California Announces First Consumer Products Subjected To New Green Chemistry Rules - FDA Issues Final Guidance Distinguishing Liquid Dietary Supplements from Beverages - Private Surgeon General...more

Financial Regulatory Developments Focus - April 1, 2014

In this issue: - Derivatives - Bank Structure - Compensation - Regulatory Capital - Financial Services - Funds - Consumer Protection - Enforcement -...more

SEC Roundtable Discusses Cybersecurity Threats and Protections Against Cyberattacks

On March 26, the Securities and Exchange Commission hosted a roundtable discussion on various cybersecurity topics. Participants at the roundtable included representatives from the federal government, self-regulatory...more

Privacy & Cybersecurity Update - March 2014

In This Issue: - EU Parliament Cements Position on Privacy Protection Reform - EU Parliament Passes Cybersecurity Directive - SEC Holds Roundtable on Cybersecurity - EU and APEC Introduce Guide for...more

Banking & Financial Services E-Note - March 27, 2014

In This Issue: - SEC Considers New Funding Rules for Shadow Banking System - Judge Backs FTC Authority to Pursue Payday Lenders - Regulator Estimates Volcker Rule Could Cost Banks Up to $4.3B - Appeals Court...more

Target, University of Maryland Testify on Data Breaches; Congress, FTC and SEC Continue Inquiries

On Wednesday, March 26, 2014, the Senate Committee on Commerce, Science and Transportation held a hearing entitled “Protecting Personal Consumer Information from Cyber Attacks and Data Breaches” and heard testimony from...more

Dodd-Frank News - March 2014: Dodd-Frank Wall Street Reform And Consumer Protection Act Update

In This Issue: - Recent Cases January Through March 2014 ..Dodd-Frank Amendments to RESPA ..Dodd-Frank Prohibition on Arbitration Clauses ..Whistleblower Protection Under Dodd-Frank - News &...more

N.Y. Banking and Insurance Superintendent Unveils Aggressive Agenda

Benjamin M. Lawsky, who heads the New York State Department of Financial Services (DFS), indicated that his agency is seriously considering more aggressive investigation and pursuit of individuals whose malfeasance has led...more

Financial Services Law - Mar 14, 2014

State and Federal Lawmakers, Chair of Fed Weigh in on Regulation of Virtual Currency - The New York Department of Financial Services issued an order on Wednesday that it will immediately start accepting applications...more

CFTC Staff Issues Best Practices for Customer Information Safeguards

The CFTC’s Division of Swap Dealer and Intermediary Oversight issued a Staff Advisory outlining recommended best practices for covered financial institutions to comply with Title V of the Gramm-Leach-Bliley Act of 1999...more

Private Fund Update - March 10, 2014

In this issue: - The 113th Congress - The Administration - Securities and Exchange Commission - Commodity Futures Trading Commission (CFTC) - Association for Corporate Growth (ACG) - Private...more

CFTC Issues Advisory on Compliance with Gramm-Leach-Bliley Act Security Safeguards

On February 26, the Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission issued Advisory 14-21 to provide futures commission merchants, commodity trading advisors, commodity...more

Risky Business: Target Discloses Data Breach and New Risk Factors in 8-K Filing… Kind Of

After Target Corporation’s (NYSE: TGT) net earnings dropped 46% in its fourth quarter compared to the same period last year, Target finally answered the 441 million dollar question – To 8-K, or not to 8-K? Target filed its...more

Bernstein Shur Business and Commercial Litigation Newsletter #37

We are pleased to present the 37th edition of the Bernstein Shur Business and Commercial Litigation Newsletter. This month, we highlight recent developments concerning securities fraud liability against law firms and other...more

Cyber Security: Are You At Risk?

In This Issue: - Prevention - Notification - Potential Litigation - Conclusion - Excerpt from Foreward: As the recent Target and Neiman Marcus data breaches made clear, cyber security is one...more

Business News Digest – February 2014

In this issue: - Securities Enforcement and Compliance - Consumer Financial Protection Bureau - Food & Drugs - Government Contracts - Healthcare - Intellectual Property -...more

Banking & Financial Services E-Note - January 31, 2014

In This Issue: - DOJ Weighs Action Against Banks Over Payday Lending Business - More Regulatory Scrutiny Causing Banks to Pass on LBOs - Officials to Issue New Rules on Banks Holding Marijuana Funds - Fed...more

White Collar Watch - January 2014

In This Issue: - SEC’s Dodd-Frank Whistleblower Program Report shows best practices make for an effective compliance and ethics program - In unprecedented move, government seeks to extend the responsible...more

FERC Enforcement Director Calls For Legislative Fix To Address Hunter Decision

On January 15, 2014, Mr. Norman Bay, Director of the Office of Enforcement at the Federal Energy Regulatory Commission (FERC), testified at a Senate Banking Subcommittee on Financial Institutions and Consumer Protection...more

FERC Enforcement Chief Norman Bay Testifies Regarding FERC’s Energy Market Oversight and Enforcement Authority and Approach

On January 15, 2014, Norman C. Bay, Director of the Office of Enforcement (OE) of the Federal Energy Regulatory Commission (FERC), testified before the U.S. Senate Banking, Housing, and Urban Affairs Subcommittee on Financial...more

BakerHostetler 2013 Year-End Review of Class Actions (and what to expect in 2014)

I. Introduction - Library shelves will someday swell with history books about the U.S. Supreme Court under the leadership of Chief Justice John Roberts. No doubt sensational cases about corporate speech, national...more

CFTC Issues No-Action Relief to FCMs Relating to Enhanced Customer Protection Rules

The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) issued two no-action letters granting relief to futures commission merchants (FCMs) from certain requirements of the...more

Financial Services Legislative and Regulatory Update -- January 13, 2014

In This Issue: Leading the Past Week; Executive Branch; International; and Upcoming Hearings. Excerpt from Leading the Past Week - Last week closed with the long anticipated ability-to-repay and...more

Are You Another Target for Hackers? 2014 Cybersecurity Risk Disclosure Reminder

As calendar-year public companies approach annual reporting season, issuers should consider whether or not their current risk factor disclosures, as well as their “forward looking statements” language, are adequate in light...more

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