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Orrick's Financial Industry Week In Review - April 2, 2013

In This Issue: *Financial Industry Developments - CFTC No-Action Relief for Commodity Trader Advisor Registration - CFTC Regulations on Associated Persons of Swap Dealers and Major Swap Participants -...more

Defending Section 162(m) Executive Compensation Derivative Suits in the United States

Decisions regarding executive compensation fall squarely within the discretion of a public company’s board of directors. Recently, however, plaintiffs’ firms have been trying to invade the board’s purview by bringing...more

Death and Taxes? Recent Supreme Court Arguments in Gabelli v. SEC Concerning a General Statute of Limitations for Civil Fines May...

On January 8, the Supreme Court of the United States heard oral arguments in Gabelli v. S.E.C., 133 S. Ct. 97 (2012) on the question: By when must the government initiate an action to enforce a civil fine, penalty, or...more

Appellate Division Review: Fine-Tuning the Law in Business, Family, Government

Originally published in The New York Law Journal, October 19, 2012. “I wear my reversals like badges of honor,” a trial judge once remarked when discussing his (largely positive) record on appeal. Based on our review of...more

Orrick's Financial Industry Week in Review - April 23, 2012

In This Issue: - Financial Industry Developments · Volcker Rule Conformance Period Clarification · SEC and CFTC Rule Defining Swap-Related Terms · CFTC Final Rule and Interim Final Rule on Commodity...more

ESOP LEGAL NEWS - April 2012 • Volume 1, Number 2

INSIDE THIS ISSUE: The ESOP Association submits comments on corporate tax reform to House committee; ESOP champion Olympia Snowe not running for reelection; Pro-ESOP legislation garners support; Bear Stearns agrees to...more

Orrick's Financial Industry Week in Review - February 13, 2012

In This Issue: -Financial Industry Developments · State AGs and Federal Regulators Settlement with Mortgage Servicers · Fed Agreement in Principle with Banking Organizations Regarding Monetary...more

Corporate and Financial Weekly Digest - November 18, 2011

In this issue; - FINRA Reminds Firms of Their Obligations Regarding the Supervision of Registered Persons Using Senior Designations - Broker Dealer and Investment Adviser Renewal Statements for 2012 Available on Web...more

Orrick's Financial Industry Week in Review - October 3, 2011

In This Issue: -Financial Industry Developments · FINRA Proposed Rule Change to Market-Wide Circuit Breaker Proposals · Discussion Paper and Request for Comment on Alternative Mortgage Servicing...more

Anonymous v. Anonymous

Plaintiff's Attorney Affidavit in Support of Sealing Order

Under NY False Claims Act, whistleblowers can bring "qui tam" actions for tax, and other types of fraud on the government. These whistleblower cases often proceed under the caption Anon. v. Anon. and under seal. However,...more

Anonymous v. Anonymous

Sealing Order NY False Claims Act: Form of Order

Under NY False Claims Act, "qui tam" cases often proceed under the caption Anon. v. Anon. and under seal. However, applicable rules require the Supreme Court to order the sealing: unlike the Federal system, the pleadings are...more