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Public Mining of Securities Regulatory Big Data

An article in this weekend’s Wall Street Journal called for FINRA to make the database underlying its BrokerCheck® system (of reports on stockbroker registration and disciplinary history) more widely available for data mining...more

In Case You Missed It: Launch Links - April 2016 #3

Some interesting links we found across the web this week: - Postscript: Bill Campbell, 1940-2016 - He may not be the most globally famous person who passed away this week, but Bill Campbell’s quiet influence on...more

6 Tips for Chicago Startups Seeking Funding Outside Chicago

Chicago startups have more local funding options than ever before. However, many founders remain hungry to obtain funding from elsewhere—especially from the venture-rich east and west coasts. Trouble is, for reasons both...more

Be Careful What You Say – Or Rather What You Don’t Say – AVEO Pays $4 Million to SEC to Settle Fraud Charges

In March 2016, the Securities and Exchange Commission announced that AVEO Pharmaceuticals, Inc., a Massachusetts-based biopharmaceutical company, agreed, without admitting or denying the allegations, to pay $4 million to...more

The SEC’s Increasing Use of Data Analysis

The Commission has increasingly focused on data analysis as an aid to its enforcement program. Two recent cases brought against investment advisers for cherry picking illustrate different facets of the approach....more

Cybersecurity Compliance Just Got Tougher

Companies need specific, well-executed plans to meet growing demands of federal and state agencies. While cybersecurity risks have increased, government regulation has traditionally lagged behind. Recently, some...more

Investment Management Update - April 2016

Below is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management...more

Your daily dose of financial news The Brief – 4.19.16

Oh, Theranos. 2016’s not really your year, is it? Word emerged yesterday that the DOJ and SEC are joining health officials in taking a closer look at the blood-testing company, though details of their investigation are...more

In Case You Missed It: Launch Links - April 2016 #2

Some interesting links we found across the web this week: Beneath the Hype: Why Developers & Entrepreneurs Should Be Excited About the Rise of Chat Bots - Last week we featured autonomous hardware as a growth area...more

Your daily dose of financial news The Brief – 4.18.16

Major oil-producing countries failed to reach an agreement to cap production at meetings held this weekend at Doha. Expect markets not to take this news well – WSJ and Bloomberg... IPOs have been down—way down—in the...more

Registration of Associated Persons with Algorithmic Trading Responsibilities

On April 7, 2016, the Securities and Exchange Commission (“SEC”) approved the Financial Industry Regulatory Authority's (“FINRA”) proposal to amend NASD Rule 1032 (Categories of Representative Registration) to require...more

The SEC Approves a FINRA Rule Amendment Requiring Registration of Associated Persons Who Design or Develop Algorithmic Trading...

On April 7, the Securities and Exchange Commission (SEC) approved amendments to NASD Rule 1032(f) which will require registration as Securities Traders of associated persons who are primarily responsible for the design,...more

UK Government Announces Steps to Support UK FinTech Growth

The Economic Secretary to the UK Treasury, Harriett Baldwin, gave a speech at the 2016 Innovate Finance Global Summit in London. The Economic Secretary announced certain policies that the UK Government had adopted to support...more

3D Printing: Where’s the Money Coming From?

Based on research we deployed, here is a general report. Like any industry, 3D printing took a while to find solid footing, but in recent years it has gained notable attention. Since 2011, 3D printing companies raised...more

International Report on Cyber Security in Securities Markets

The International Organization of Securities Commissions published a report on cyber security in securities markets from an international perspective. The purpose of the report is to assist IOSCO members and market...more

CFTC Commissioner advocates minimal regulation of blockchain technology, letting private sector lead

On March 29, 2016, J. Christopher Giancarlo, the Commissioner of the U.S. Commodity Futures Trading Commission, or CFTC, spoke at the Depository Trust and Clearing Corporation 2016 Blockchain Symposium. His speech encouraged...more

CFTC Commissioner Urges Regulators to “Do No Harm” as Blockchain Technology Develops

On March 29, CFTC Commissioner J. Christopher Giancarlo delivered remarks before the Depository Trust and Clearing Corporation 2016 Blockchain Symposium. According to Giancarlo, blockchain technology — also known as...more

Virtual Currency Guidelines

Despite growing pains, digital currencies and blockchain may be the future of payments and global finance. As with any disruptive technology that gains popularity quickly, building the legal framework to support it is...more

In Case You Missed It: Launch Links - April 2016

Some interesting links we found across the web this week: - Startup Funding Deals Fall to Lowest Level in Four Years - The Q1 numbers came in this week and they’re not pretty, showing the fewest total venture...more

FINRA Reports on Robo-Advisors

What is the appropriate level of regulatory oversight for a robo-advisor? As federal agencies struggle with the question, the Financial Industry Regulatory Authority (FINRA) published a new report reminding companies offering...more

Blog: SEC Chief Accountant Addresses The New Revenue Recognition Standard In The Context Of The Life Sciences Industry

In late March, SEC Chief Accountant, James Schnurr, delivered remarks before the 12th Annual Life Sciences Accounting and Reporting Congress. The remarks addressed the new revenue recognition standard and internal control...more

The Economist Frames the Argument Against Excessive Bank Regulation (somewhat unintentionally)

On March 26, 2016, The Economist published an article entitled “The Problem with Profits.” That article discussed the high profitability of U.S. firms and why that seemingly positive fact is actually harmful to the overall...more

In Case You Missed It: Launch Links - March 2016 #4

Some interesting links we found across the web this week: - How The Fiduciary Rule Will Harm Fintech And Startups - The Department of Labor may not be the first federal agency on an early-stage startup founder’s...more

Pitch Perfect: Eight Insights for an Effective Start-Up Company Pitch Deck

Preparing an investor pitch deck is a task that most start-up companies encounter in the fund raising process. While almost all companies create investor pitch decks, many fail to do so effectively or with maximum impact....more

Heard at the 2016 SIFMA Conference

Recently, attorneys from K&L Gates’ Government Enforcement practice group attended the Securities Industry and Financial Markets Association’s (“SIFMA”) Compliance and Legal Society Annual Seminar. We wanted to share with you...more

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