Dorsey & Whitney LLP

This Week In Securities Litigation

The Government requested that the Supreme Court overturn U.S. v. Newman, the Second Circuit’s decision on tipping and the personal benefit test. Previously, the Second Circuit had declined a request to either rehear the case or…more
| Civil Procedure, Commercial Law & Contracts, Criminal Law, International Law & Trade, Securities Law

US CHINA TRADE WAR–CHINA STOCK MARKET CRASH, TRADE, IP/PATENT, SECURITIES

Since the last blog post focused on trade policy and trade and customs issues, with extensive coverage of the Trade Promotion Authority fight in the US Congress, after addressing the trade area briefly, this blog post plays…more
| Antitrust & Trade Regulation, Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

2015 Changes to the Minnesota Business Corporation Act

On August 1, 2015, House Bill H.F. No. 385, which was signed into law by Governor Mark Dayton in May 2015, will become effective. The new law streamlines the process for executing cross-entity and cross-border conversions under…more
| Business Organizations, Elections & Politics

SEC Settles Unregistered Broker Charges Tied To Offering Fraud

The SEC entered into partial settlements with three persons charged with acting as brokers without registering. The charges were tied to an offering fraud which centered on selling interests in a firm that claimed to be engaged…more
| Commercial Law & Contracts, Securities Law

SEC Settles FCPA Charges Tied to Payments to Health Care Professionals

The SEC filed another settled action in which payments to health care professionals at state owned entities in China were alleged to be violations of the Foreign Corrupt Practices Act. Although the company furnished extensive…more
| Commercial Law & Contracts, Communications & Media Law, Criminal Law, Health

SFC Reports Hong Kong’s Growth As International Investment Hub

As the Chinese stock market continues to spiral down, news agencies continue to report on the efforts of the government to abate the crash. In contrast, the Securities and Futures Commission of Hong Kong is reporting another…more
| Commercial Law & Contracts, International Law & Trade, Securities Law

SEC Sanctions Adviser For Not Fully Disclosing Fee Arrangements

The Commission has brought a series of cases focused on undisclosed conflicts of regulated entities. A number of those cases centered on undisclosed fee and compensation arrangements. In its most recent case the agency went one…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

U.S. Business Interests and the 2015 Iran Nuclear Settlement: A Critical First Appraisal

This has been a historic month for the United States and several other leading nations as they reached an apparent settlement with Iran over the development of its nuclear program. On July 14, the five permanent members of the…more
| Elections & Politics, Finance & Banking, International Law & Trade

This Week In Securities Litigation

The SEC filed three actions following-up on its settled proceeding against Oppenheimer for selling millions of shares of unregistered penny stocks. Each individual settled with the agency. In addition, the Commission brought a…more
| Finance & Banking, Government Contracting, International Law & Trade, Securities Law, Taxation

Medical Liability Reform – Iowa’s Communication and Optimal Resolution (Candor) Bill Effective July 1, 2015

On July 1, 2015, the Iowa legislature rolled out what is being heralded as its most significant medical liability reform of the past decade: enabling confidential “open discussions” between health care providers and patients…more
| Conflict of Laws, Health, Personal Injury, Professional Malpractice

CMS Proposes Significant Revisions to Stark Law

In its CY 2016 physician fee schedule proposed rule, the Centers for Medicare and Medicaid Services (“CMS”) proposes significant amendments and clarifications to the federal physician self-referral regulations, commonly known as…more
| Health

Naked Liens – Stripping Prohibited

In June, the US Supreme Court decided the case of debtors in bankruptcy desirous of stripping off a lender’s real estate lien that was fully in excess of the fair market value of the real estate. The Supreme Court unanimously…more
| Bankruptcy, Civil Procedure, Commercial Law & Contracts, Finance & Banking, Real Estate - Residential

SEC Charges Three For Six Microcap Fraud Manipulations

Microcap fraud has been a priority of SEC Enforcement since at least the formation of the Microcap Task Force about two years ago. The Commission has brought a series of cases focused largely on pump-and-dump schemes…more
| Criminal Law, Securities Law

Cooperation, the SEC and FOIA

A critical part of cooperating with an SEC or DOJ investigation for FCPA or other possible violations is the production of documents. In order for the company to assess what happened it must conduct an internal investigation and…more
| Administrative Law, Business Organizations, International Law & Trade, Products Liability

Quirky Question #265, Can I have an English-Only Policy?

Question: Our Company may implement a policy that requires employees to speak in the English language. What risks should we be aware of?…more
| Civil Rights, Labor & Employment Law
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50 South Sixth Street Suite 1500
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