Securities Law, Finance & Banking, Science, Computers & Technology

Investment Portals Addressed in SEC Staff Guidance Under JOBS Act; No-Action Letters Also Issued

by Elliott Curzon, Thor Imsdahl, Edward Pittman | Dechert LLP on 5/15/2013

Technology has spawned the formation of new internet-based marketplaces for illiquid and restricted securities. In most instances, these markets are operated by entities registered with the U.S. Securities and Exchange...more

CFTC Discussing Bitcoin Regulation

by Felix Shipkevich | Shipkevich PLLC on 5/8/2013

The Commodity Futures Trading Commission (CFTC) is reportedly “seriously” looking into whether Bitcoin may fall under its scope....more

CFTC To Address Problems Of Dealing With Evolving Technology Sphere

by Felix Shipkevich | Shipkevich PLLC on 5/1/2013

Despite the fact that The Commodity Futures Trading Commission (CFTC) has spent years working on plans to adapt to the technological revolution that is changing the investing sphere, the disconnect between the agency and...more

CFTC Fails To Handle Problems Of Evolving Tech Sphere

by Shipkevich PLLC on 4/30/2013

Despite the fact that The Commodity Futures Trading Commission (CFTC) has spent years working on plans to adapt to the technological revolution that is changing the investing sphere, the disconnect between the regulatory body...more

SEC and CFTC Issue Identity Theft Red Flags Rules Applicable to Financial Institutions and Creditors

by Timothy Blank, Nicholas DiLorenzo, Owen C.J. Foster, Christopher Harvey | Dechert LLP on 4/30/2013

The SEC and CFTC recently issued joint Identity Theft Red Flags Rules (the “Rules”), which are rules and guidelines requiring certain financial institutions worldwide to adopt comprehensive data security programs to detect...more

D.C. Developments on the Cybersecurity Front – UPDATE

by Cynthia Larose, Heidi A. Lawson | Mintz Levin - Privacy & Security on 4/12/2013

UPDATE: The House Permanent Select Committee on Intelligence passed the Cyber Intelligence Sharing and Protection Act (CISPA) this afternoon. The vote was 18 in favor and two (Adam Schiff (D-CA) and Jan Schakowsky (D-IL))...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

Cybersecurity Disclosure: A Panel Discussion with the SEC’s Division of Corporation Finance

by Mintz Levin - Privacy & Security on 4/9/2013

Last week in Washington, D.C., this author had the opportunity to sit in on a panel discussion by the SEC’s Division of Corporation Finance (“CorpFin”) discussing, among other things, recent developments in cybersecurity...more

Accredited Crowdfunding, Internet Advertising And General Solicitation

by Jill Radloff | Leonard, Street and Deinard - Dodd-Frank and... on 4/5/2013

The SEC recently granted two accredited crowdfunding sites exemptions from the broker-dealer rules because the type of carried interest (or close equivalent) used to compensate the site is not transaction based compensation. ...more

SEC OKs Social Media Sites for Financial Disclosures

by James G. Gatto | Pillsbury Social Media, Entertainment &... on 4/3/2013

The Securities and Exchange Commission issued a report that makes clear that companies can use social media outlets like Facebook and Twitter to announce key information in compliance with Regulation Fair Disclosure...more

LCH.Clearnet Cites ‘Major’ Tech Failure In December

by Elan Mendel | Shipkevich PLLC on 3/26/2013

LCH.Clearnet Ltd., one of the world’s largest interest-rate swap clearinghouse, cited a “major” information technology failure on December 31st of last year. The IT failure affected payment processing in the U.K. and...more

SEC Proposes New Technology Standards for Key Market Participants

by Ropes & Gray LLP on 3/20/2013

On March 7, 2013, the SEC proposed Regulation SCI (“Reg SCI”), which would replace existing voluntary standards applicable to securities exchanges, clearing agencies and certain other market participants with enforceable...more

To the Nation’s Largest Banks: Thanks for Reading

by Mintz Levin - Privacy & Security on 3/13/2013

It seems that some of the nation’s largest public company banks must be avid readers of this blog and have taken to heart our 2013 prediction that the SEC would require greater disclosure related to data security risks and...more

Cybersecurity Disclosure: The Risks Of Silence

by Timothy Blank, Owen C.J. Foster, Vernon Francis | Dechert LLP on 3/11/2013

With the rise in targeted, sophisticated, malicious attacks on corporate America’s electronic infrastructure, companies are increasingly focused on their cybersecurity disclosure obligations. There is a growing concern that...more

SEC Speaks: Agency Takes Back-To-Basics Approach In Face Of Changing Leadership, Congressional Mandates And New Technologies

by Regina LaMonica, Jose Lopez, Keith Miller, Charles Mulaney, Pravin Rao | Perkins Coie on 2/25/2013

The annual “SEC Speaks” conference, in which Securities and Exchange Commission (SEC) representatives review the agency’s efforts over the past year and preview the year to come, was held on February 22-23, 2013. A...more

Silicon Valley Venture Capital Survey - Fourth Quarter 2012

by Barry J. Kramer, Michael J. Patrick | Fenwick & West LLP on 2/20/2013

Background- We analyzed the terms of venture financings for 116 companies headquartered in Silicon Valley that reported raising money in the fourth quarter of 2012....more

Mind the Gap - LSE announces plans for new High Growth Segment

by Alex Gibson, James O. Green, Thomas Sibert | K&L Gates LLP on 2/19/2013

Following the announcement last September that the government was encouraging the London Stock Exchange ("LSE") to relax its rules for tech companies, the LSE last week formally announced its plans for a new High Growth...more

London Stock Exchange Publishes Draft Rulebook for New Fast-Growth Segment

by Iain Wright | Morgan Lewis on 2/15/2013

Rulebook sets out criteria for admission to the high-growth segment, which has been designed to meet the needs of fast-growing European companies. On 13 February, the London Stock Exchange (LSE) published a draft...more

Maintaining Our Focus - Winter 2013

by David Rosenblatt, Mark Schonfeld, Matthew Tuttle | Burns & Levinson LLP on 2/15/2013

In This Issue: - Message from the Managing Partner - Amazing Clients®: ACell: Medical Miracles - The Age of Bionic Reconstruction Arrives - Rethinking Today’s “Fixed Income” Investments - Can Gray...more

Crowdfunding Alert: OSC Extends Comment Period For New Prospectus Exemptions

by Andrea C. Johnson | Dentons on 2/11/2013

The Ontario Securities Commission (“OSC”) is actively taking steps to make capital raising easier for start-ups. In late 2012, the OSC published Staff Consultation Paper 45-710, seeking feedback on proposed new prospectus...more

Transaction Monitoring Under the FCPA [Video]

by Thomas Fox on 1/31/2013

Transaction monitoring was mentioned in a couple of significant enforcement actions of 2012. I think that it will move to becoming a best practice in FCPA compliance programs. This video will explain how transaction...more

FFIEC Issues Proposed Guidance on Social Media Risks and Compliance

by Richard Raysman | Holland & Knight LLP on 1/28/2013

The Federal Financial Institutions Examination Council (FFIEC) released a proposed guidance regarding the applicability of consumer protection, compliance and privacy laws to social media usage by banks, credit unions, and...more

Venture Perspectives - January 2013: Quarterly Review of Seed, Series A and Series B/Later Round Financings: Third Quarter 2012

by David Pierson, Amanda Vendig, Robert Warren | Foley Hoag LLP on 1/15/2013

In This Issue: - Activity Level of New England Seed Transactions - Activity Level of New England Series A Transactions - Activity Level of New England Series B/Later Round Transactions - Size of New...more

CFTC Report Brings HFT, Flash Crashes Back To Media Spotlight

by Felix Shipkevich | Shipkevich PLLC on 12/11/2012

A report by U.S. Commodity Trading Futures Commission (CFTC) chief economist Andrei Kirilenko that shows the advantages of high-frequency traders over small investors is turning the public eye back toward trading and...more

Silicon Valley Venture Capital Survey - Third Quarter 2012

by Barry J. Kramer, Michael J. Patrick | Fenwick & West LLP on 11/19/2012

Background—We analyzed the terms of venture financings for 117 companies headquartered in Silicon Valley that reported raising money in the third quarter of 2012. Overview of Fenwick & West Results - Venture...more

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Securities Law › Finance & Banking › Science, Computers & Technology

Investment Portals Addressed in SEC Staff Guidance Under JOBS Act; No-Action Letters Also Issued

CFTC Discussing Bitcoin Regulation

CFTC To Address Problems Of Dealing With Evolving Technology Sphere

CFTC Fails To Handle Problems Of Evolving Tech Sphere

SEC and CFTC Issue Identity Theft Red Flags Rules Applicable to Financial Institutions and Creditors

D.C. Developments on the Cybersecurity Front – UPDATE

Final Red Flags Rules Adopted By SEC And CFTC

Cybersecurity Disclosure: A Panel Discussion with the SEC’s Division of Corporation Finance

Accredited Crowdfunding, Internet Advertising And General Solicitation

SEC OKs Social Media Sites for Financial Disclosures

LCH.Clearnet Cites ‘Major’ Tech Failure In December

SEC Proposes New Technology Standards for Key Market Participants

To the Nation’s Largest Banks: Thanks for Reading

Cybersecurity Disclosure: The Risks Of Silence

SEC Speaks: Agency Takes Back-To-Basics Approach In Face Of Changing Leadership, Congressional Mandates And New Technologies

Silicon Valley Venture Capital Survey - Fourth Quarter 2012

Mind the Gap - LSE announces plans for new High Growth Segment

London Stock Exchange Publishes Draft Rulebook for New Fast-Growth Segment

Maintaining Our Focus - Winter 2013

Crowdfunding Alert: OSC Extends Comment Period For New Prospectus Exemptions

Transaction Monitoring Under the FCPA [Video]

FFIEC Issues Proposed Guidance on Social Media Risks and Compliance

Venture Perspectives - January 2013: Quarterly Review of Seed, Series A and Series B/Later Round Financings: Third Quarter 2012

CFTC Report Brings HFT, Flash Crashes Back To Media Spotlight

Silicon Valley Venture Capital Survey - Third Quarter 2012

Transaction Monitoring Under the FCPA [Video]

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