Katten Muchin Rosenman LLP

Supreme Court Unanimously Rejects Federal Circuit Standards for Indefiniteness and Induced Infringement

The US Supreme Court issued two anticipated decisions on June 2, 2014, relating to the US Court of Appeals for the Federal Circuit's standards for indefiniteness and induced infringement. In the first, Nautilus, Inc. v…more

Definiteness, Indefiniteness, Induced Infringement, Infringement, Nautilus Inc. v. Biosig Instruments

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A Hail Mary to the U.S. Supreme Court? Owner of REDSKINS Marks Petitions for Hearing on Constitutionality of Section 2(a) of the Lanham Act

Pro-Football, Inc., the owner of multiple U.S. service mark registrations for REDSKINS, REDSKINETTES, and WASHINGTON REDSKINS, took the somewhat unusual step last week of petitioning the U.S. Supreme Court for a writ of…more

Blackhorse v Pro-Football, Disparagement, First Amendment, Lanham Act, Petition for Writ of Certiorari

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Corporate and Financial Weekly Digest - Volume XI, Issue 34

SEC/CORPORATE - SEC Increases Registration Statement Filing Fees for Fiscal Year 2017 - On August 31, the Securities and Exchange Commission announced that, effective October 1, the fees that public companies and other…more

Electronic Filing, EU, Filing Fees, IOSCO, MSRB

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Williamson v. Citrix Online Highlights Potential Unintended Consequences of Functional Limitations in Patent Claims

In Williamson v. Citrix Online, LLC, No. 2013-1130 (Fed. Cir., June 16, 2015), the Federal Circuit, sitting en banc, overruled earlier opinions and held that the absence of the word “means” does not justify a “strong”…more

Claim Construction, Means-Plus-Function, Patent Litigation, Patents

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The Notice Provision of the Defend Trade Secrets Act (DTSA): What Employers Must Do Now

The Defend Trade Secrets Act (DTSA), which became effective on May 11, extends federal civil protection to trade secrets and allows companies and individuals to file private lawsuits to remedy a wrongful taking of their trade…more

Best Management Practices, Defend Trade Secrets Act (DTSA), Employer Liability Issues, Notice Requirements, Whistleblower Protection Policies

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Proxy Access—the Devil Is in the Details

Proxy access, meaning the ability of stockholders to put their nominees on management’s proxy card and create a proxy contest without having to file their own proxy statement, was the marquee issue of the 2015 proxy season. The…more

Board of Directors, Bylaws, Corporate Governance, Institutional Investors, ISS

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2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

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Corporate and Financial Weekly Digest - Volume XI, Issue 36

BROKER-DEALER - SEC Chair Gives Speech on Equity Market Structure - On September 14, Securities and Exchange Commission Chair Mary Jo White gave a speech titled “Equity Market Structure in 2016 and for the Future” at…more

AML/CFT, Dodd-Frank, Equity Markets, EU, Exchange-Traded Products

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A Summary of the New California LLC Law

Effective January 1, 2014, the existing limited liability company (LLC) statute in California (the “Old Act”) will be replaced by the California Revised Uniform Limited Liability Company Act (RULLCA). Actions taken by managers…more

Articles of Incorporation, Choice of Entity, Corporate Charters, Corporate Governance, Corporate Management

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Second Circuit Decision Provides Guidance for Drafting Enforceable Broker-Dealer Agreement Forum Selection Clause

On August 21, the US Court of Appeals for the Second Circuit decided two closely watched appeals regarding the intersection of Financial Industry Regulatory Authority, Inc. (FINRA) rules mandating arbitration of…more

Appeals, Broker-Dealer, FINRA, Forum Selection, Goldman Sachs

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The New gTLD Program: Latest Updates on Brand Protection and the Trademark Clearinghouse

The most significant development in the Internet space in recent years is the ongoing generic top-level domain (gTLD) expansion. (As a reminder, a TLD is what appears to the right of the “dot” in a domain name (i.e., .COM, .ORG,…more

Domain Names, gTLD, ICANN, Internet

See All Updates »

The Katten Kattwalk - Issue 10

The Katten Kattwalk discusses legal issues in the fashion industry affecting the trademarks, patents and copyrights associated with companies, brands and products. Please see full Newsletter below for more information…more

Breweries, Dilution, Fashion Industry, Furniture Industry, Lanham Act

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Industry Group Files Reply in Support of Motion to Prevent Enforcement of OSHA's Injury Reporting Rule

A coalition of industry groups ("Plaintiffs") filed suit in the Northern District of Texas in July challenging the legality of specific provisions relating to safety incentive programs and post-incident drug testing in OSHA's…more

Drug Testing, Final Rules, OSHA, Preliminary Injunctions, Trade Associations

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Eight Key Estate Planning Opportunities Arising from the Supreme Court's Decision on Same-Sex Marriage

On June 26, 2015, the US Supreme Court ruled that a state ban on same sex marriage is unconstitutional, in violation of the equal protection clause of the Fourteenth Amendment. The landmark ruling in the combined cases known as…more

Estate Planning, Marriage, Obergefell v. Hodges, Same-Sex Marriage, SCOTUS

See All Updates »

Is Your Business Prepared for the Ransomware Epidemic?

Earlier this month, the Federal Trade Commission (FTC) kicked off its fall technology series with a workshop on the growing threat of ransomware. Ransomware is an increasingly common and insidious form of malware that locks away…more

Cyber Attacks, FTC, Ransomware

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The FTC's Native Advertising Settlement With Lord & Taylor Highlights the Commission's Enforcement Priorities Under Its Recently Issued Guidance

On March 15, 2016, the Federal Trade Commission (FTC) announced a settlement with department store Lord & Taylor ("L&T") relating to native advertising for its Design Lab collection of clothing in various online materials,…more

FTC, Lord & Taylor, Misrepresentation, Native Advertising, New Guidance

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2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

See All Updates »

Sabine Court Issues Industry-Affecting Non-Binding Opinion

The financial pressure on the oil and gas industry is well known. Dozens of oil and gas companies have defaulted on credit facilities or filed bankruptcy recently and industry observers expect many more to follow. Please…more

Chapter 11, Commercial Bankruptcy, Covenants that Run With the Land, Midstream Contracts, Oil & Gas

See All Updates »

Six Key Takeaways from ICANN 53 in Buenos Aires

The 53rd international meeting of the Internet Corporation for Assigned Names and Numbers (ICANN) formally concluded on Thursday, June 25, 2015, in Buenos Aires, Argentina. As always, the ICANN community discussed several…more

Brand, Domain Names, gTLD, ICANN, Internet Assigned Numbers Authority (IANA)

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Municipal Bankruptcies: An Overview and Recent History of Chapter 9 of the Bankruptcy Code

The City of Detroit filed for protection under chapter 9 of the Bankruptcy Code on July 18, 2013,[1] becoming the largest municipality to ever file for bankruptcy. Detroit’s bankruptcy filing presents numerous complicated…more

Chapter 9, Detroit, Municipal Bankruptcy, Municipal Bonds, Municipalities

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Major Breakthrough in the Information Technology Agreement Expansion Talks

The Office of the United States Trade Representative and the Ministry of Commerce of the People’s Republic of China announced on November 10, 2014 that the United States and China have reached an agreement on the coverage of…more

China, Technology, US Trade Policies, WTO

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Williamson v. Citrix Online Highlights Potential Unintended Consequences of Functional Limitations in Patent Claims

In Williamson v. Citrix Online, LLC, No. 2013-1130 (Fed. Cir., June 16, 2015), the Federal Circuit, sitting en banc, overruled earlier opinions and held that the absence of the word “means” does not justify a “strong”…more

Claim Construction, Means-Plus-Function, Patent Litigation, Patents

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Comments Sought by December 19th on the FDA's Proposed Criteria for "First Generic" Applications

This morning, the Food and Drug Administration (FDA) opened a public docket and requested comments on its proposed criteria for expedited review of "first generic" Abbreviated New Drug Applications (ANDAs). The comment period…more

ANDA, FDA, Generic Drugs, Hatch-Waxman, Patent Infringement

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Municipal Bankruptcies: An Overview and Recent History of Chapter 9 of the Bankruptcy Code

The City of Detroit filed for protection under chapter 9 of the Bankruptcy Code on July 18, 2013,[1] becoming the largest municipality to ever file for bankruptcy. Detroit’s bankruptcy filing presents numerous complicated…more

Chapter 9, Detroit, Municipal Bankruptcy, Municipal Bonds, Municipalities

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The Department of Justice's Focus on Individual Accountability for Corporate Wrongdoing

The Department of Justice's Focus on Individual Accountability for Corporate Wrongdoing - The Department of Justice (DOJ) recently issued a memo reiterating its commitment to the criminal and civil investigation and…more

C-Suite Executives, Corporate Misconduct, Criminal Prosecution, DOJ, Financial Crimes

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Corporate and Financial Weekly Digest - Volume XI, Issue 34

SEC/CORPORATE - SEC Increases Registration Statement Filing Fees for Fiscal Year 2017 - On August 31, the Securities and Exchange Commission announced that, effective October 1, the fees that public companies and other…more

Electronic Filing, EU, Filing Fees, IOSCO, MSRB

See All Updates »

2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

See All Updates »

Corporate and Financial Weekly Digest - Volume XI, Issue 35

BROKER-DEALER FINRA – Proposes Changes to Its Inter-Dealer Quotation System for OTC Equity Securities – The Financial Industry Regulatory Authority has proposed changes to its inter-dealer quotation system referred to…more

Cybersecurity, Financial Conduct Authority (FCA), FINRA, Japan, MiFID II

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Bankruptcy Court Finds Tenant Cannot Assume Commercial Lease After Waiving Rights to Seek Relief From Forfeiture Under California Law

The US Bankruptcy Court for the Central District of California (the "Court") recently upheld the validity of a commercial lease provision by which a debtor/tenant waived its rights to seek relief from forfeiture (i.e.,…more

Commercial Bankruptcy, Commercial Leases, Commercial Tenants, Forfeiture, Tenants

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PRIIPS – ESMA Publishes Reponses to Consultation on Key Information Document

The European Securities and Markets Authority (ESMA) has published the responses received by ESMA, the European Banking Authority (EBA) and the European Insurance and Occupational Pensions Authority (EIOPA) on the Technical…more

Annuities, Consultation, EIOPA, EU, European Banking Authority

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Public Company Sanctioned by SEC for Including Illegal Anti-Whistleblower Provisions in Severance Agreements

In a speech on April 30, 2015. Securities and Exchange Commission (SEC) Chair Mary Jo White noted that... Please see full Advisory below for more information…more

Enforcement Actions, SEC, Securities Exchange Act, Severance Agreements, Whistleblower Awards

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Patent Trial and Appeal Board Issues First IPR Decisions on Orange Book-Listed Patents

On December 9, 2014, the Patent Trial and Appeal Board (PTAB) issued final decisions in three inter partes review (IPR) proceedings filed by Amneal Pharmaceuticals challenging three patents listed in the Orange Book for Oracea®…more

America Invents Act, Inter Partes Review Proceedings, Patent Trial and Appeal Board, Pharmaceutical Industry, Pharmaceutical Patents

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Corporate and Financial Weekly Digest - Volume XI, Issue 34

SEC/CORPORATE - SEC Increases Registration Statement Filing Fees for Fiscal Year 2017 - On August 31, the Securities and Exchange Commission announced that, effective October 1, the fees that public companies and other…more

Electronic Filing, EU, Filing Fees, IOSCO, MSRB

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Significant Changes to Form ADV and Performance Advertising Rules Adopted

On August 25, the Securities and Exchange Commission (SEC) adopted amendments to Form ADV and to certain rules promulgated under the Investment Adviser Act of 1940, as amended (the "Advisers Act"). These amendments will be…more

Advertising, Disclosure Requirements, Form ADV, Investment Adviser, Recordkeeping Requirements

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Corporate and Financial Weekly Digest - Volume XI, Issue 36

BROKER-DEALER - SEC Chair Gives Speech on Equity Market Structure - On September 14, Securities and Exchange Commission Chair Mary Jo White gave a speech titled “Equity Market Structure in 2016 and for the Future” at…more

AML/CFT, Dodd-Frank, Equity Markets, EU, Exchange-Traded Products

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US Supreme Court Briefing of Greenhouse Gas Cases Completed — Oral Argument Scheduled for February 24, 2014

Briefing has just concluded in a matter before the US Supreme Court involving challenges to the suite of greenhouse gas (GHG) cases decided by the US Court of Appeals for the District of Columbia Circuit in June 2012. In October…more

Carbon Emissions, Clean Air Act, Environmental Policies, EPA, Greenhouse Gas Emissions

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What Does the US Supreme Court Ruling Mean for Local Affordable Housing Laws?

On February 29, the US Supreme Court denied certiorari in California Building Industry Association v. City of San Jose, 61 Cal. 4th 435 (2015), and leaves standing a unanimous decision by the California Supreme Court upholding…more

Affordable Housing, California Building Industry Association (CBIA), City of San Jose, Local Ordinance, Popular

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SEC Proposes New Rules for Crowdfunding Exemption

On October 23, the Securities and Exchange Commission voted unanimously to propose new rules that would permit companies to offer and sell securities through “crowdfunding.” Title III of the Jumpstart Our Business Startups Act…more

Crowdfunding, Exemptions, JOBS Act, SEC, Securities Act of 1933

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Second Circuit Reaffirms That Attorney-Client Privilege Is Not Waived By Sharing Documents With Parties Pursuant to a Common Legal Interest—Even Where That Interest Has Commercial Objectives

On November 10, 2015, the US Court of Appeals for the Second Circuit issued an opinion reaffirming that the attorney-client privilege and work product protections were not waived by a businessman and his company when they shared…more

Attorney-Client Privilege, Common-Interest Privilege, Litigation Strategies, Work Product Privilege

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IRS Continues to Expand, Encourage and Simplify Correction Program in 2015 Updates to EPCRS

In spite of a plan sponsor's best efforts, errors and failures in administering a retirement plan occasionally come to light. We hear about these errors and failures usually following a change in administration, service provider…more

Benefit Plan Sponsors, EPCRS, IRS, Retirement Plan

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Employment Matters – UK - September 2016

Employees Working Abroad: Factors Supporting a Connection With Great Britain Giving Entitlement To Bring an Employment Tribunal Claim - As you will be aware, even if an employee does not work for a UK employer or is not…more

Data Breach, Employment Tribunals, Hiring & Firing, Traveling Employee, UK

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What Does the US Supreme Court Ruling Mean for Local Affordable Housing Laws?

On February 29, the US Supreme Court denied certiorari in California Building Industry Association v. City of San Jose, 61 Cal. 4th 435 (2015), and leaves standing a unanimous decision by the California Supreme Court upholding…more

Affordable Housing, California Building Industry Association (CBIA), City of San Jose, Local Ordinance, Popular

See All Updates »

2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

See All Updates »

2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

See All Updates »

2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

See All Updates »

FTC Announces Revised Hart-Scott-Rodino Filing Thresholds

On January 21, the Federal Trade Commission (FTC) announced the new filing thresholds that will apply to mergers and acquisitions under the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended (the HSR Act). The…more

FTC, Hart-Scott-Rodino Act, Size of Persons Test, Size of Transaction Test, Threshold Requirements

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Illinois Supreme Court Upholds "Willful and Wanton" Immunity Protection in Peer Review Cases

Background - Dr. Steven Valfer is a licensed OB-GYN who was a member of the medical staff at Evanston Northwestern Hospital ("Hospital") until March 16, 2005 when the Hospital's board of directors approved the…more

HCQIA, Hospitals, IL Supreme Court, Immunity, Patient Safety

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CFPB Issues Proposed Rule to Restrict the Use of Mandatory Arbitration Clauses and Class Action Waivers

If implemented, the Proposed Rule will result in an increase in class action lawsuits against consumer finance companies that currently include class action waivers in their contracts. Please see full Advisory below for…more

CFPB, Class Action Arbitration Waivers, Consumer Financial Contracts, Mandatory Arbitration Clauses, Proposed Regulation

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2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

See All Updates »

Fifth Circuit Decision in Citgo Case May Place Limits on Criminal Liability Under Migratory Bird Treaty Act

On September 4, 2015, the US Court of Appeals for the Fifth Circuit reversed convictions of CITGO Petroleum Corporation and CITGO Refining and Chemical Company, L.P. (collectively "Citgo"), and in so doing placed potentially…more

Appeals, Citgo, Clean Air Act, Criminal Penalties, Energy Sector

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The New gTLD Program: Latest Updates on Brand Protection and the Trademark Clearinghouse

The most significant development in the Internet space in recent years is the ongoing generic top-level domain (gTLD) expansion. (As a reminder, a TLD is what appears to the right of the “dot” in a domain name (i.e., .COM, .ORG,…more

Domain Names, gTLD, ICANN, Internet

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From Implementation to Takeoff: Nine Months Later, OFAC Issues Licenses to Boeing and Airbus for Commercial Aircraft Deals With Iran

The beginning of the year brought the arrival of “Implementation Day” under the Joint Comprehensive Plan of Action (JCPOA) and its potential for business opportunities in Iran that had been shut off for decades (See Jan. 22,…more

Airbus, Airlines, Boeing, General Licenses, Implementation Day

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DeCoster Decision—What Food and Beverage Companies Need To Know

In a recent US Court of Appeals decision that every food and beverage executive should note, the Eighth Circuit ruled that two "responsible corporate officers" must serve jail time for failing to prevent the distribution of…more

Appeals, Criminal Investigations, FDCA, Food Manufacturers, Food Safety

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Corporate and Financial Weekly Digest - Volume IX, Issue 5

In this issue: - FTC Announces New Filing Thresholds for Hart-Scott-Rodino Pre-Merger Notifications - SEC Division of Corporation Finance Issues Three C&DIs Relating to “Unbundling Rule” - NFA Members Must…more

Bitcoin, Bundling Rules, CFTC, Derivative Suit, FinCEN

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A New Target for Distressed Investors: What Claims Traders Need to Know About Target Canada and Canadian Insolvency Law

On January 14, 2015, Target Corporation ("Target US") announced the exit of substantially all of its Canadian operations less than two years after opening its first Canadian stores in a strategic push to operate at least one…more

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Parkcentral v. Porsche: Second Circuit Opens the Doors of Morrison, and Declines to Apply Section 10(b) to Domestic Securities-Based Swap Transactions

In Parkcentral Global Hub Ltd,. et al. v. Porsche Automobile Holdings SE, et al., Dkt. No. 11-397-cv (2d Cir. Aug. 15, 2014), the US Court of Appeals for the Second Circuit affirmed the lower court’s dismissal of plaintiffs’…more

Appeals, Automotive Industry, Extraterritoriality Rules, Morrison v National Australia Bank, Section 10(b)

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DeCoster Decision—What Food and Beverage Companies Need To Know

In a recent US Court of Appeals decision that every food and beverage executive should note, the Eighth Circuit ruled that two "responsible corporate officers" must serve jail time for failing to prevent the distribution of…more

Appeals, Criminal Investigations, FDCA, Food Manufacturers, Food Safety

See All Updates »

Eight Key Estate Planning Opportunities Arising from the Supreme Court's Decision on Same-Sex Marriage

On June 26, 2015, the US Supreme Court ruled that a state ban on same sex marriage is unconstitutional, in violation of the equal protection clause of the Fourteenth Amendment. The landmark ruling in the combined cases known as…more

Estate Planning, Marriage, Obergefell v. Hodges, Same-Sex Marriage, SCOTUS

See All Updates »

What Does the US Supreme Court Ruling Mean for Local Affordable Housing Laws?

On February 29, the US Supreme Court denied certiorari in California Building Industry Association v. City of San Jose, 61 Cal. 4th 435 (2015), and leaves standing a unanimous decision by the California Supreme Court upholding…more

Affordable Housing, California Building Industry Association (CBIA), City of San Jose, Local Ordinance, Popular

See All Updates »

Williamson v. Citrix Online Highlights Potential Unintended Consequences of Functional Limitations in Patent Claims

In Williamson v. Citrix Online, LLC, No. 2013-1130 (Fed. Cir., June 16, 2015), the Federal Circuit, sitting en banc, overruled earlier opinions and held that the absence of the word “means” does not justify a “strong”…more

Claim Construction, Means-Plus-Function, Patent Litigation, Patents

See All Updates »

Significant Changes to Form ADV and Performance Advertising Rules Adopted

On August 25, the Securities and Exchange Commission (SEC) adopted amendments to Form ADV and to certain rules promulgated under the Investment Adviser Act of 1940, as amended (the "Advisers Act"). These amendments will be…more

Advertising, Disclosure Requirements, Form ADV, Investment Adviser, Recordkeeping Requirements

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NYSE Amends “Late Filer Rule”

Effective March 2, the New York Stock Exchange amended its rule (commonly referred to as the “late filer rule”) that applies to listed companies that do not timely file their periodic reports with the Securities and Exchange…more

Late Filer Rule, NYSE, SEC

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2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

See All Updates »

The Gathering Storm: Equity Compensation and 10b5-1 Plans Under Attack

In this presentation: - The Genesis – Merger Objection Cases - The New Wave of Injunction Cases - Say-on-Pay Injunction Cases - Share Issuance Injunction Cases - Post-Vote Derivative Cases -…more

10b5-1 Plans, Compliance, Derivative Suit, Equity Compensation, Injunctions

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Hotels, Hospitality and Guest Privacy: Six Important Questions to Ask After the Andrews Verdict

Earlier this month, a Nashville jury awarded sportscaster Erin Andrews $55 million after she sued the companies that franchise, own and operate a hotel, alleging that the hotel improperly gave her private information to another…more

Erin Andrews, Hospitality Industry, Risk Management, Security and Privacy Controls, Security Risk Assessments

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2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

See All Updates »

2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

See All Updates »

The Katten Kattwalk - Issue 10

The Katten Kattwalk discusses legal issues in the fashion industry affecting the trademarks, patents and copyrights associated with companies, brands and products. Please see full Newsletter below for more information…more

Breweries, Dilution, Fashion Industry, Furniture Industry, Lanham Act

See All Updates »

IRS Issues New Partnership Audit Procedures

Included as a revenue offset in the budget legislation (H.R. 1314) signed by President Obama are provisions that simplify the procedure for the Internal Revenue Service to audit and collect adjustments from partnerships. The new…more

Audits, Hedge Funds, IRS, Partnerships, U.S. Treasury

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2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

See All Updates »

Outpatient Ancillary Services: Creative Structures for Competing Into the Future

In this presentation: - Introduction - Why Ancillary Services Transactions Are Being Done - Conversion to Provider-Based or Under Arrangement - An Illustration - Some Medicare…more

Acquisitions, Health Care Providers, Healthcare, Joint Venture, Medicare

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2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

See All Updates »

Corporate and Financial Weekly Digest - Volume XI, Issue 36

BROKER-DEALER - SEC Chair Gives Speech on Equity Market Structure - On September 14, Securities and Exchange Commission Chair Mary Jo White gave a speech titled “Equity Market Structure in 2016 and for the Future” at…more

AML/CFT, Dodd-Frank, Equity Markets, EU, Exchange-Traded Products

See All Updates »

SDNY Dismisses False Claims Act Complaint, Finding Relators Misconstrued Medicaid Program Legal Framework

A False Claims Act case against the New York City Department of Education (NYCDOE) was dismissed on March 25, the district court holding that Medicaid providers (such as school districts that provide health services) cannot be…more

DOJ, False Claims Act (FCA), Healthcare, Medicaid, Public Schools

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Seventh Circuit Holds Under Indiana Law, Company Was Allowed to Vote Its Own Shares

The United States Court of Appeals for the Seventh Circuit recently affirmed a district court decision holding that under Indiana law, an Indiana corporation could vote its own outstanding preferred shares. In 1999, Emmis…more

Dividends, Going-Private Transactions, Preferred Shares, Repurchases, Shareholder Litigation

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Bridging the Week - September 2016 #3

Advantage Futures LLC, Joseph Guinan, its majority owner and chief executive officer, and William Steele, who until May 2016 was Advantage’s chief risk officer, settled charges brought by the Commodity Futures Trading Commission…more

Audit Policies, Block Trades, Books & Records, CPOs, EFRP

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SEC Adopts Regulation AB II

On August 27, the Securities and Exchange Commission at an open meeting unanimously adopted Regulation AB II (Reg AB II). The final rule provides significant revisions to Regulation AB, which provides the rules regarding the…more

Asset-Backed Securities, Disclosure Requirements, Dodd-Frank, EDGAR, New Regulations

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Significant Changes to Form ADV and Performance Advertising Rules Adopted

On August 25, the Securities and Exchange Commission (SEC) adopted amendments to Form ADV and to certain rules promulgated under the Investment Adviser Act of 1940, as amended (the "Advisers Act"). These amendments will be…more

Advertising, Disclosure Requirements, Form ADV, Investment Adviser, Recordkeeping Requirements

See All Updates »

DOJ and DOL Expand and Promote the Worker Endangerment Initiative

The US Department of Justice (DOJ) has announced an expanded national initiative to pursue criminal charges in cases involving worker endangerment. Deputy Attorney General Sally Quillian Yates directed all 93 United States…more

Criminal Prosecution, DOJ, DOL, Employer Liability Issues, OSHA

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Sabine Court Issues Industry-Affecting Non-Binding Opinion

The financial pressure on the oil and gas industry is well known. Dozens of oil and gas companies have defaulted on credit facilities or filed bankruptcy recently and industry observers expect many more to follow. Please…more

Chapter 11, Commercial Bankruptcy, Covenants that Run With the Land, Midstream Contracts, Oil & Gas

See All Updates »

Eleventh Circuit Applies Five-Year Statute of Limitations to SEC Disgorgement Claims

On May 26, the Eleventh Circuit Court of Appeals unanimously ruled that the five-year statute of limitations applicable to Securities and Exchange Commission claims for fines and suspensions or bars also applies to SEC claims…more

Disgorgement, SEC, Securities Fraud, Statute of Limitations, Suspensions & Debarments

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Municipal Advisors and "Bank Purchase" Bonds: What's All the Commotion About?

There has been a renewed focus in recent months on how to determine which regulatory regimes apply to the various parties involved in private placements of municipal debt. The very public controversy over the question of whether…more

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US Supreme Court Eliminates "Good-Faith Belief of Invalidity" Defense for Induced Patent Infringement

On May 26, 2015, the US Supreme Court handed down an important decision regarding induced infringement under 35 U.S.C. §271(b). Commil USA, LLC v. Cisco Systems, Inc., __ U.S. __ (May 26, 2015). Unlike direct infringement under…more

Cisco v CommilUSA, Good Faith, Induced Infringement, Patent Infringement, Patent Litigation

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Illinois Supreme Court Issues New Procedural Rules for Foreclosures

On February 22, 2013, the Illinois Supreme Court adopted a set of new procedural rules that will impact both residential and commercial foreclosures in Illinois. The new rules are scheduled to go into effect as early as March 1,…more

Affidavits, Foreclosure, Lenders, Loans, Robo-Signing

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Is Your Business Prepared for the Ransomware Epidemic?

Earlier this month, the Federal Trade Commission (FTC) kicked off its fall technology series with a workshop on the growing threat of ransomware. Ransomware is an increasingly common and insidious form of malware that locks away…more

Cyber Attacks, FTC, Ransomware

See All Updates »

The DOJ FCPA Enforcement Plan and Guidance Encourages Voluntary Self-Disclosure and Cooperation in Exchange for Additional Mitigation Credit

On April 5, 2016, the Fraud Section of the U.S. Department of Justice's Criminal Division issued a much-awaited Enforcement Plan and Guidance ("Guidance") on the Foreign Corrupt Practices Act (FCPA or the "Act"). This Guidance…more

Cooperation, DOJ, FCPA, Strategic Enforcement Plan, Voluntary Disclosure

See All Updates »

Eight Key Estate Planning Opportunities Arising from the Supreme Court's Decision on Same-Sex Marriage

On June 26, 2015, the US Supreme Court ruled that a state ban on same sex marriage is unconstitutional, in violation of the equal protection clause of the Fourteenth Amendment. The landmark ruling in the combined cases known as…more

Estate Planning, Marriage, Obergefell v. Hodges, Same-Sex Marriage, SCOTUS

See All Updates »

2014 Year-End Estate Planning Advisory

In 2014, we continued to experience a period of relative stasis in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief Act…more

Estate-Tax Exemption, Gift-Tax Exemption, Year-End Planning, Year-End Tax Planning

See All Updates »

Structuring Equity Interests for Independent Sponsors

In a traditional private equity fund, the fund managers will raise money from investors to establish a pool of capital the fund can then use to invest in a number of portfolio companies. A big benefit of a fund is that the fund…more

Carried Interest, Financial Sponsors, IRS, Private Equity Funds

See All Updates »

California Proposes Major Changes to Refinery PSM Standard

The California Department of Industrial Relations (DIR) has proposed a new Process Safety Management standard for oil refineries (the "Refinery PSM Standard"). The proposal, which is a precursor to formal notice and comment…more

Oil & Gas, OSHA, Refineries, Safety Precautions

See All Updates »

2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

See All Updates »

Delaware Supreme Court Holds That Plaintiffs Must Specifically Plead Non-Exculpated Claims Against Disinterested Directors in Transaction Under Entire Fairness Review to Survive Motion to Dismiss

In In re Cornerstone Therapeutics Inc. Stockholder Litigation/Leal v. Meeks, the Delaware Supreme Court reversed decisions of the Delaware Chancery Court denying director-defendants’ motions to dismiss breach of fiduciary duty…more

Breach of Duty, Burden of Proof, Controlling Stockholders, DE Supreme Court, Exculpatory Clauses

See All Updates »

What US Companies Need to Know About New EU Data Protection Rules

On December 15, the European Commission put forward the General Data Protection Regulation (GDPR), which—subject to formal adoption by the European Parliament in 2016—will replace the 1995 Data Protection Directive, the existing…more

Enforcement Authority, EU, EU Data Protection Laws, Multinationals, SMEs

See All Updates »

Federal Circuit Recognizes an Exception to Inter Partes Review Estoppel Provisions

On March 23, the US Court of Appeals for the Federal Circuit issued a decision endorsing an exception to the estoppel provisions for inter partes review (IPR) under 35 U.S.C § 315(e). Shaw Industry Group, Inc. v. Automated Creel…more

Estoppel, Inter Partes Review Proceedings, Mandamus Petitions, Patent Trial and Appeal Board, Prior Art

See All Updates »

Supreme Court Rules Patent Claims Ineligible as Abstract Ideas, Affirming Federal Circuit in Alice Corp Pty. Ltd. V. CLS Bank Int'l

In a 9-0 decision written by Justice Clarence Thomas, the US Supreme Court affirmed the decision by the US Court of Appeals for the Federal Circuit in Alice Corp. Pty. Ltd. v. CLS Bank Int'l, Case No.13-298, holding that all of…more

Alice Corporation, CLS Bank, CLS Bank v Alice Corp, Mayo v. Prometheus, Patent Litigation

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California Court of Appeal Strictly Enforces Carveout Guaranty

In “what appears to be an issue of first impression, not only in California, but in the entire country,” the California Court of Appeal in Series AGI West Linn of Appian Group Investors De LLC v. Eves (June 14, 2013) addressed…more

Carve Out Provisions, Contract Drafting, Contract Interpretation, Guaranty Claims

See All Updates »

Corporate and Financial Weekly Digest - Volume XI, Issue 34

SEC/CORPORATE - SEC Increases Registration Statement Filing Fees for Fiscal Year 2017 - On August 31, the Securities and Exchange Commission announced that, effective October 1, the fees that public companies and other…more

Electronic Filing, EU, Filing Fees, IOSCO, MSRB

See All Updates »

SEC Approves a Streamlined FINRA Rule Set for Certain Broker-Dealers Engaged Only in Limited Capital Raising Activities

On August 18, the Securities and Exchange Commission (SEC) issued an order approving proposed Financial Industry Regulatory Authority (FINRA) rules exclusively applicable to firms that meet the definition of a "capital…more

Broker-Dealer, Capital Acquisition Broker (CAB), FINRA, SEC

See All Updates »

Eight Key Estate Planning Opportunities Arising from the Supreme Court's Decision on Same-Sex Marriage

On June 26, 2015, the US Supreme Court ruled that a state ban on same sex marriage is unconstitutional, in violation of the equal protection clause of the Fourteenth Amendment. The landmark ruling in the combined cases known as…more

Estate Planning, Marriage, Obergefell v. Hodges, Same-Sex Marriage, SCOTUS

See All Updates »

District Court Denies Distressed Funds the Right to Vote on Bankruptcy Plan

The US District Court for the Western District of Washington (the "District Court") recently affirmed a bankruptcy court decision that prohibited a transferee of a secured lender's interest in a loan from voting on a debtor's…more

Assignees, Commercial Bankruptcy, Debt, Lenders, Loan Agreements

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Municipal Bankruptcies: An Overview and Recent History of Chapter 9 of the Bankruptcy Code

The City of Detroit filed for protection under chapter 9 of the Bankruptcy Code on July 18, 2013,[1] becoming the largest municipality to ever file for bankruptcy. Detroit’s bankruptcy filing presents numerous complicated…more

Chapter 9, Detroit, Municipal Bankruptcy, Municipal Bonds, Municipalities

See All Updates »

Municipal Advisors and "Bank Purchase" Bonds: What's All the Commotion About?

There has been a renewed focus in recent months on how to determine which regulatory regimes apply to the various parties involved in private placements of municipal debt. The very public controversy over the question of whether…more

See All Updates »

2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

See All Updates »

The FTC's Native Advertising Settlement With Lord & Taylor Highlights the Commission's Enforcement Priorities Under Its Recently Issued Guidance

On March 15, 2016, the Federal Trade Commission (FTC) announced a settlement with department store Lord & Taylor ("L&T") relating to native advertising for its Design Lab collection of clothing in various online materials,…more

FTC, Lord & Taylor, Misrepresentation, Native Advertising, New Guidance

See All Updates »

Launch of New Generic Top Level Domains .store and .shopping

From time to time, new generic top-level domains (gTLDs) become available for registration. Among the many gTLDs newly available is .store. This gTLD is intended to provide brand owners with a domain that is instantly…more

Brand, Domain Names, gTLD, Internet Retailers, Trademarks

See All Updates »

Second Circuit Decision May Have Significant Implications for Whistleblowers and Their Employers

On September 10, 2015, the US Court of Appeals for the Second Circuit issued a decision with significant implications for purported whistleblowers and their employers—Berman v. Neo@Ogilvy LLC, WPP Group USA, Inc., No. 14-4626…more

Appeals, Disclosure, Dodd-Frank, Employer Liability Issues, Retaliation

See All Updates »

A New Target for Distressed Investors: What Claims Traders Need to Know About Target Canada and Canadian Insolvency Law

On January 14, 2015, Target Corporation ("Target US") announced the exit of substantially all of its Canadian operations less than two years after opening its first Canadian stores in a strategic push to operate at least one…more

See All Updates »

Eight Key Estate Planning Opportunities Arising from the Supreme Court's Decision on Same-Sex Marriage

On June 26, 2015, the US Supreme Court ruled that a state ban on same sex marriage is unconstitutional, in violation of the equal protection clause of the Fourteenth Amendment. The landmark ruling in the combined cases known as…more

Estate Planning, Marriage, Obergefell v. Hodges, Same-Sex Marriage, SCOTUS

See All Updates »

Is Your Business Prepared for the Ransomware Epidemic?

Earlier this month, the Federal Trade Commission (FTC) kicked off its fall technology series with a workshop on the growing threat of ransomware. Ransomware is an increasingly common and insidious form of malware that locks away…more

Cyber Attacks, FTC, Ransomware

See All Updates »

The State Department's Recent Federal Register Notice Marks Opening Steps Toward Access to Iranian Market for US Commercial Aircraft Industry

On November 2, 2015, the US State Department published a list of contingent waivers to a host of US sanctions on Iran that would apply to US and non-US persons. Included in the publication is an announcement of waivers that…more

Aviation Industry, Export Controls, Iran Sanctions, Joint Comprehensive Plan of Action (JCPOA), US Department of State

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SEC Brings Complaint in $68 Million Affinity Fraud Scheme

On July 6, the Securities and Exchange Commission filed a complaint in connection with a $68 million affinity fraud scheme allegedly orchestrated by Bingqing Yang, through her wholly owned management companies, Luca…more

China, Civil Monetary Penalty, Disgorgement, EB-5, Foreign Investment

See All Updates »

Public Company Sanctioned by SEC for Including Illegal Anti-Whistleblower Provisions in Severance Agreements

In a speech on April 30, 2015. Securities and Exchange Commission (SEC) Chair Mary Jo White noted that... Please see full Advisory below for more information…more

Enforcement Actions, SEC, Securities Exchange Act, Severance Agreements, Whistleblower Awards

See All Updates »

Corporate and Financial Weekly Digest - Volume X, Issue 36

BROKER-DEALER SEC - Extends Specified Temporary Relief Related to Security-Based Swaps - On September 15, the SEC issued an order extending temporary exemptions and exceptions from compliance with certain provisions…more

BEA, Broker-Dealer, CFTC, Derivatives, EU

See All Updates »

2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

See All Updates »

Hotels, Hospitality and Guest Privacy: Six Important Questions to Ask After the Andrews Verdict

Earlier this month, a Nashville jury awarded sportscaster Erin Andrews $55 million after she sued the companies that franchise, own and operate a hotel, alleging that the hotel improperly gave her private information to another…more

Erin Andrews, Hospitality Industry, Risk Management, Security and Privacy Controls, Security Risk Assessments

See All Updates »

The Katten Kattwalk - Fashion Week 2013

In this issue: - New Rules on Use of Child Models - Impact of TTAB Rulings on Court Decisions - Sports Teams’ Logos and Marks May Be Different - It’s Ten O’Clock—Do You Know Where Your Company’s Data…more

Child Labor, Data Protection, Domain Names, Fashion Industry, gTLD

See All Updates »

IRS Continues to Expand, Encourage and Simplify Correction Program in 2015 Updates to EPCRS

In spite of a plan sponsor's best efforts, errors and failures in administering a retirement plan occasionally come to light. We hear about these errors and failures usually following a change in administration, service provider…more

Benefit Plan Sponsors, EPCRS, IRS, Retirement Plan

See All Updates »

CFTC Requests Public Comment on Rule Amendment Certification Filing by Ice Futures

The Commodity Futures Trading Commission is requesting public comment on a certification of proposed rule amendments that were filed by ICE Futures U.S. Inc. Under the amendments, ICE Futures would base position limits…more

CFTC, Commodities Exchange Act, Commodity Futures Contracts, Electricity, Futures

See All Updates »

Corporate and Financial Weekly Digest - Volume XI, Issue 22

BROKER-DEALER FINRA - Issues Guidance With Respect to Stop Orders and Volatile Market Conditions - On May 26, FINRA issued guidance encouraging firms to review their policies with respect to the use of stop orders…more

CFPB, Comment Period, EU, EU Market Abuse Regulation (EU MAR), Federal Reserve

See All Updates »

The FTC's Native Advertising Settlement With Lord & Taylor Highlights the Commission's Enforcement Priorities Under Its Recently Issued Guidance

On March 15, 2016, the Federal Trade Commission (FTC) announced a settlement with department store Lord & Taylor ("L&T") relating to native advertising for its Design Lab collection of clothing in various online materials,…more

FTC, Lord & Taylor, Misrepresentation, Native Advertising, New Guidance

See All Updates »

2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

See All Updates »

IRS Issues New FATCA Regulations

On February 20, 2014, the Internal Revenue Service (IRS) issued additional final and temporary regulations (T.D. 9657) under the Foreign Account Tax Compliance Act of 2009 (FATCA) as well as new regulations (T.D. 9658) that…more

Disclosure Requirements, FATCA, Income Taxes, IRS

See All Updates »

Corporate and Financial Weekly Digest - Volume IX, Issue 36

In this issue: - Bylaw of Delaware Corporation Providing for Exclusive Forum in North Carolina Upheld - FINRA Board to Consider Rule Proposals Regarding Private Trading Platforms - CBOE and C2 in Discussions…more

AIFM, AIFMD, Banks, Bitcoin, CBOE

See All Updates »

2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

See All Updates »

And The Band Played On - Disputes Over Musical Group Names Were a Familiar Tune in 2013

On August 28, 2013, the founder of the classic rock band BOSTON and the owner of all of its trademarks lost a bid to prevent the band’s former lead singer from using the name BOSTON in connection with his ongoing musical career…more

Copyright, Music, Trademarks

See All Updates »

Sabine Court Issues Industry-Affecting Non-Binding Opinion

The financial pressure on the oil and gas industry is well known. Dozens of oil and gas companies have defaulted on credit facilities or filed bankruptcy recently and industry observers expect many more to follow. Please…more

Chapter 11, Commercial Bankruptcy, Covenants that Run With the Land, Midstream Contracts, Oil & Gas

See All Updates »

Is Your Business Prepared for the Ransomware Epidemic?

Earlier this month, the Federal Trade Commission (FTC) kicked off its fall technology series with a workshop on the growing threat of ransomware. Ransomware is an increasingly common and insidious form of malware that locks away…more

Cyber Attacks, FTC, Ransomware

See All Updates »

Structuring Equity Interests for Independent Sponsors

In a traditional private equity fund, the fund managers will raise money from investors to establish a pool of capital the fund can then use to invest in a number of portfolio companies. A big benefit of a fund is that the fund…more

Carried Interest, Financial Sponsors, IRS, Private Equity Funds

See All Updates »

IRS Issues New FATCA Regulations

On February 20, 2014, the Internal Revenue Service (IRS) issued additional final and temporary regulations (T.D. 9657) under the Foreign Account Tax Compliance Act of 2009 (FATCA) as well as new regulations (T.D. 9658) that…more

Disclosure Requirements, FATCA, Income Taxes, IRS

See All Updates »

2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

See All Updates »

2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

See All Updates »

Hotels, Hospitality and Guest Privacy: Six Important Questions to Ask After the Andrews Verdict

Earlier this month, a Nashville jury awarded sportscaster Erin Andrews $55 million after she sued the companies that franchise, own and operate a hotel, alleging that the hotel improperly gave her private information to another…more

Erin Andrews, Hospitality Industry, Risk Management, Security and Privacy Controls, Security Risk Assessments

See All Updates »

OFAC General License Facilitates Negotiations With Iran for Commercial Passenger Aircraft

Since we last spoke of "Implementation Day" established on January 16 under the Joint Comprehensive Plan of Action (see "Implementation Day" Brings Openings for Commercial Aircraft Sales With Iran advisory from January 22), the…more

Aircraft Equipment, Contract Negotiations, General Licenses, ITSR, Joint Comprehensive Plan of Action (JCPOA)

See All Updates »

Federal Circuit Issues Decision Affirming Obviousness of a Molecule Patent Claim

On June 12, 2014, the US Court of Appeals for the Federal Circuit issued a precedential opinion affirming the obviousness of a patent claim directed to a drug molecule. Bristol-Myers Squibb Co. v. Teva Pharms. USA, Inc., ___…more

Bristol-Myers Squibb, Obviousness, Patent Infringement, Patent Litigation, Patents

See All Updates »

Corporate and Financial Weekly Digest - Volume XI, Issue 36

BROKER-DEALER - SEC Chair Gives Speech on Equity Market Structure - On September 14, Securities and Exchange Commission Chair Mary Jo White gave a speech titled “Equity Market Structure in 2016 and for the Future” at…more

AML/CFT, Dodd-Frank, Equity Markets, EU, Exchange-Traded Products

See All Updates »

From Implementation to Takeoff: Nine Months Later, OFAC Issues Licenses to Boeing and Airbus for Commercial Aircraft Deals With Iran

The beginning of the year brought the arrival of “Implementation Day” under the Joint Comprehensive Plan of Action (JCPOA) and its potential for business opportunities in Iran that had been shut off for decades (See Jan. 22,…more

Airbus, Airlines, Boeing, General Licenses, Implementation Day

See All Updates »

Corporate and Financial Weekly Digest - Volume XI, Issue 12

SEC/CORPORATE - SEC Issues No-Action Relief Pursuant to Rule 14a-8(i)(9) - As previously reported in the Corporate and Financial Weekly Digest edition of October 30, 2015, the Securities and Exchange Commission's…more

CD&I, Federal Reserve, No-Action Relief, Prepaid Payment Products, Rule 14a-8

See All Updates »

Employment Matters – UK - September 2016

Employees Working Abroad: Factors Supporting a Connection With Great Britain Giving Entitlement To Bring an Employment Tribunal Claim - As you will be aware, even if an employee does not work for a UK employer or is not…more

Data Breach, Employment Tribunals, Hiring & Firing, Traveling Employee, UK

See All Updates »

Department of Interior Releases Revised Rules on Hydraulic Fracturing on Federal and Indian Lands

A final rule that seeks to address perceived risks associated with hydraulic fracturing was published by the Department of Interior (DOI) in the Federal Register on March 26, 2015. The rule revises existing Bureau of Land…more

Bureau of Land Management, Final Rules, Fracking, Government Land, Oil & Gas

See All Updates »

US Supreme Court Adds to District Court's Ability to Award Enhanced Patent Damages

On June 13, the US Supreme Court handed down an important unanimous decision relaxing the standard for an award of enhanced patent damages under 35 U.S.C. § 284. See Halo Electronics, Inc. v. Pulse Electronics, Inc., 579 U.S…more

35 U.S.C. § 284, Enhanced Damages, Halo v Pulse, Judicial Discretion, Patent Infringement

See All Updates »

Private Equity Fund Sponsors' Risk for ERISA Unfunded Pension Liability Grows

On March 28, the US District Court for the District of Massachusetts held that, under the Employee Retirement Income Security Act of 1974 (ERISA), two private equity funds (1) were engaged in a trade or business, and (2) had…more

ERISA, Multiemployer Plan, PBGC, Pensions, Private Equity Funds

See All Updates »

Bankruptcy Court Finds Tenant Cannot Assume Commercial Lease After Waiving Rights to Seek Relief From Forfeiture Under California Law

The US Bankruptcy Court for the Central District of California (the "Court") recently upheld the validity of a commercial lease provision by which a debtor/tenant waived its rights to seek relief from forfeiture (i.e.,…more

Commercial Bankruptcy, Commercial Leases, Commercial Tenants, Forfeiture, Tenants

See All Updates »

SEC Extends Specified Temporary Relief Related to Security-Based Swaps

On September 15, the SEC issued an order extending temporary exemptions and exceptions from compliance with certain provisions of the Securities Exchange Act of 1934 (Exchange Act) applicable to security-based swaps (SB swaps)…more

Counterparties, Dodd-Frank, Exemptions, SEC, Securities Exchange Act

See All Updates »

Corporate and Financial Weekly Digest - Volume XI, Issue 35

BROKER-DEALER FINRA – Proposes Changes to Its Inter-Dealer Quotation System for OTC Equity Securities – The Financial Industry Regulatory Authority has proposed changes to its inter-dealer quotation system referred to…more

Cybersecurity, Financial Conduct Authority (FCA), FINRA, Japan, MiFID II

See All Updates »

The Katten Kattwalk | Issue 04

In this issue: - Trademark Infringed? No Preliminary Injunction Unless Irreparable Harm Proved - Want to Reserve a Trademark? Be Prepared to Prove You Will Use It - Around the Horn: Customs and International…more

Infringement, Trademark Trial and Appeal Board, Trademarks, USPTO

See All Updates »

2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

See All Updates »

The FTC's Native Advertising Settlement With Lord & Taylor Highlights the Commission's Enforcement Priorities Under Its Recently Issued Guidance

On March 15, 2016, the Federal Trade Commission (FTC) announced a settlement with department store Lord & Taylor ("L&T") relating to native advertising for its Design Lab collection of clothing in various online materials,…more

FTC, Lord & Taylor, Misrepresentation, Native Advertising, New Guidance

See All Updates »

2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

See All Updates »

ICANN Gears Up for Second Round of gTLD Applications Even as First Round Still Underway

The most significant development in the Internet space in recent years is the ongoing generic top-level domain (gTLD) expansion. (As a reminder, a TLD is what appears to the right of the "dot" in a domain name (i.e., .COM, .ORG,…more

Domain Names, gTLD, ICANN, Internet, Websites

See All Updates »

2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

See All Updates »

2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

See All Updates »

Municipal Advisors and "Bank Purchase" Bonds: What's All the Commotion About?

There has been a renewed focus in recent months on how to determine which regulatory regimes apply to the various parties involved in private placements of municipal debt. The very public controversy over the question of whether…more

See All Updates »

Second Circuit Decision Provides Guidance for Drafting Enforceable Broker-Dealer Agreement Forum Selection Clause

On August 21, the US Court of Appeals for the Second Circuit decided two closely watched appeals regarding the intersection of Financial Industry Regulatory Authority, Inc. (FINRA) rules mandating arbitration of…more

Appeals, Broker-Dealer, FINRA, Forum Selection, Goldman Sachs

See All Updates »

Corporate and Financial Weekly Digest - Volume XI, Issue 28

SEC Proposes Amendments To Update and Simplify Disclosure Requirements: A Closer Look - On July 13, the Securities Exchange Commission proposed and requested comment regarding rule amendments to update and simplify certain…more

AIFMD Passport, DTCC, EU, Eurozone, GAAP

See All Updates »

Fee Advancement Considerations Arise From Recent Delaware and Third Circuit Decisions

Recent decisions by the US Court of Appeals for the Third Circuit and the Delaware Court of Chancery have raised important issues regarding fee advancement bylaws or policies of Delaware corporations. Please see full…more

Appeals, Attorney's Fees, Board of Directors, Bylaws, C-Suite Executives

See All Updates »

2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

See All Updates »

US Supreme Court Briefing of Greenhouse Gas Cases Completed — Oral Argument Scheduled for February 24, 2014

Briefing has just concluded in a matter before the US Supreme Court involving challenges to the suite of greenhouse gas (GHG) cases decided by the US Court of Appeals for the District of Columbia Circuit in June 2012. In October…more

Carbon Emissions, Clean Air Act, Environmental Policies, EPA, Greenhouse Gas Emissions

See All Updates »

Corporate and Financial Weekly Digest - Volume XI, Issue 20

SEC/CORPORATE - SEC Division of Corporation Finance Issues 12 New and Revised C&DIs Regarding Non-GAAP Measures - As noted in the May 13 edition of Corporate and Financial Weekly Digest, SEC Chair Mary Joe White,…more

Auditors, C&DIs, Cybersecurity, EU, Financial Conduct Authority (FCA)

See All Updates »

IRS Issues Pronouncement on Virtual Currencies

On March 25, the Internal Revenue Service (IRS) issued Notice 2014-21 (notice) containing guidance and frequently asked questions relating to virtual currencies such as bitcoins. Among other clarifications, the notice states…more

Bitcoin, IRS, Virtual Currency

See All Updates »

SEC Approves NYSE and NASDAQ New Compensation Committee and Adviser Listing Standards

On January 11, the Securities and Exchange Commission approved final amendments to listing standards submitted by NYSE Regulation, Inc. and NASDAQ Stock Market LLC with regard to the independence of compensation committees and…more

Compensation Committee, Independence Rules, Listing Standards, Nasdaq, NYSE

See All Updates »

2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

See All Updates »

Corporate and Financial Weekly Digest - Volume XI, Issue 33

SEC/CORPORATE - SEC Seeks Public Comment on Disclosure Requirements of Subpart 400 of Regulation S-K - On August 25, the Securities and Exchange Commission announced that it is seeking public comment on the issues…more

Comment Period, Committee on Payments and Market Infrastructure (CPMI), International Harmonization, IOSCO, MiFID II

See All Updates »

US Supreme Court Adds to District Court's Ability to Award Enhanced Patent Damages

On June 13, the US Supreme Court handed down an important unanimous decision relaxing the standard for an award of enhanced patent damages under 35 U.S.C. § 284. See Halo Electronics, Inc. v. Pulse Electronics, Inc., 579 U.S…more

35 U.S.C. § 284, Enhanced Damages, Halo v Pulse, Judicial Discretion, Patent Infringement

See All Updates »

DeCoster Decision—What Food and Beverage Companies Need To Know

In a recent US Court of Appeals decision that every food and beverage executive should note, the Eighth Circuit ruled that two "responsible corporate officers" must serve jail time for failing to prevent the distribution of…more

Appeals, Criminal Investigations, FDCA, Food Manufacturers, Food Safety

See All Updates »

Corporate and Financial Weekly Digest - Volume XI, Issue 36

BROKER-DEALER - SEC Chair Gives Speech on Equity Market Structure - On September 14, Securities and Exchange Commission Chair Mary Jo White gave a speech titled “Equity Market Structure in 2016 and for the Future” at…more

AML/CFT, Dodd-Frank, Equity Markets, EU, Exchange-Traded Products

See All Updates »

SEC Proposes Rules for Disclosure of Companies’ Hedging Policies

On February 9, as mandated by Section 955 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act), the Securities and Exchange Commission proposed new rules requiring disclosure by US public companies…more

Dodd-Frank, Hedging, Proposed Regulation, Proxy Statements, Public Disclosure

See All Updates »

Court Finds Section 15(a) of the Exchange Act Only Applicable in Domestic Transactions

The US District Court for the Northern District of Illinois recently granted defendants’ motion to dismiss one count of a Securities and Exchange Commission complaint, finding that the registration requirement under Section…more

Foreign Exchanges, SEC, Securities Exchange Act

See All Updates »

IRS Continues to Expand, Encourage and Simplify Correction Program in 2015 Updates to EPCRS

In spite of a plan sponsor's best efforts, errors and failures in administering a retirement plan occasionally come to light. We hear about these errors and failures usually following a change in administration, service provider…more

Benefit Plan Sponsors, EPCRS, IRS, Retirement Plan

See All Updates »

California Court of Appeal Strictly Enforces Carveout Guaranty

In “what appears to be an issue of first impression, not only in California, but in the entire country,” the California Court of Appeal in Series AGI West Linn of Appian Group Investors De LLC v. Eves (June 14, 2013) addressed…more

Carve Out Provisions, Contract Drafting, Contract Interpretation, Guaranty Claims

See All Updates »

Corporate and Financial Weekly Digest - Volume XI, Issue 21

SEC/CORPORATE - SEC Releases Target Dates for Proposed and Final Rulemaking - The Securities and Exchange Commission recently published its agenda with respect to upcoming rulemaking, including rulemaking…more

Cross-Border Transactions, Deposit Accounts, EU, European Union Delegated Act (EUDA), FDIC

See All Updates »

The FTC's Native Advertising Settlement With Lord & Taylor Highlights the Commission's Enforcement Priorities Under Its Recently Issued Guidance

On March 15, 2016, the Federal Trade Commission (FTC) announced a settlement with department store Lord & Taylor ("L&T") relating to native advertising for its Design Lab collection of clothing in various online materials,…more

FTC, Lord & Taylor, Misrepresentation, Native Advertising, New Guidance

See All Updates »

Corporate and Financial Weekly Digest - Volume X, Issue 47

SEC/CORPORATE - FAST Act Legislation and Impact on Securities Law - On December 4, President Obama signed into law the Fixing America’s Surface Transportation Act (FAST Act). This transportation bill includes…more

AIFMD, CFTC, Cybersecurity, Disclosure Requirements, Emerging Growth Companies

See All Updates »

2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

See All Updates »

IRS Issues Pronouncement on Virtual Currencies

On March 25, the Internal Revenue Service (IRS) issued Notice 2014-21 (notice) containing guidance and frequently asked questions relating to virtual currencies such as bitcoins. Among other clarifications, the notice states…more

Bitcoin, IRS, Virtual Currency

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LSTA Publishes Revised Documents Effective April 24, 2014

The Loan Syndications and Trading Association (LSTA) has released new forms of its primary trading documents, effective for trades entered into on or after April 24, 2014. The LSTA's updated forms are primarily…more

FATCA, International Tax Issues, Loans, Withholding Tax

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Public Company Sanctioned by SEC for Including Illegal Anti-Whistleblower Provisions in Severance Agreements

In a speech on April 30, 2015. Securities and Exchange Commission (SEC) Chair Mary Jo White noted that... Please see full Advisory below for more information…more

Enforcement Actions, SEC, Securities Exchange Act, Severance Agreements, Whistleblower Awards

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IRS Issues New Partnership Audit Procedures

Included as a revenue offset in the budget legislation (H.R. 1314) signed by President Obama are provisions that simplify the procedure for the Internal Revenue Service to audit and collect adjustments from partnerships. The new…more

Audits, Hedge Funds, IRS, Partnerships, U.S. Treasury

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Corporate and Financial Weekly Digest - Volume XI, Issue 19

SEC/CORPORATE - SEC Approves PCAOB Rules Requiring Disclosure of Audit Participants - On May 9, the Securities and Exchange Commission adopted the proposed new rules and related amendments to auditing standards…more

Audits, Commodities Exchange Act, EU, MiFID II, MiFIR

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What Does the US Supreme Court Ruling Mean for Local Affordable Housing Laws?

On February 29, the US Supreme Court denied certiorari in California Building Industry Association v. City of San Jose, 61 Cal. 4th 435 (2015), and leaves standing a unanimous decision by the California Supreme Court upholding…more

Affordable Housing, California Building Industry Association (CBIA), City of San Jose, Local Ordinance, Popular

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What US Companies Need to Know About New EU Data Protection Rules

On December 15, the European Commission put forward the General Data Protection Regulation (GDPR), which—subject to formal adoption by the European Parliament in 2016—will replace the 1995 Data Protection Directive, the existing…more

Enforcement Authority, EU, EU Data Protection Laws, Multinationals, SMEs

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From Implementation to Takeoff: Nine Months Later, OFAC Issues Licenses to Boeing and Airbus for Commercial Aircraft Deals With Iran

The beginning of the year brought the arrival of “Implementation Day” under the Joint Comprehensive Plan of Action (JCPOA) and its potential for business opportunities in Iran that had been shut off for decades (See Jan. 22,…more

Airbus, Airlines, Boeing, General Licenses, Implementation Day

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New FDA Regulations for OTC Antibacterial Hand and Body Washes

On September 2, 2016, Food and Drug Administration (FDA) issued a new rule prohibiting the use of certain popular ingredients in over-the-counter (OTC) antiseptic wash products designed to be used with water, such as…more

FDA, New Regulations, Personal Care Products

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OSHA Provides Guidance on Health Care and Nursing Facility Enforcement Initiative

The federal Occupational Safety and Health Administration (OSHA) recently released a memorandum clarifying its enforcement efforts against the inpatient health care and nursing home industries. The list of covered facilities is…more

General Duty Clause, Healthcare, Healthcare Facilities, Hospitals, New Guidance

See All Updates »

IRS Ruling Creates Opportunities for Tax Savings by Companies With Substantial Real Estate Assets

On July 29, Windstream announced that it plans to spin off certain telecommunications network assets into an independent, publicly traded real estate investment trust (REIT). Windstream made the announcement after it obtained a…more

Corporate Taxes, Income Taxes, IRS, Mortgage REITS, REIT

See All Updates »

The Katten Kattwalk | Issue 09

The Katten Kattwalk discusses legal issues in the fashion industry affecting the trademarks, patents and copyrights associated with companies, brands and products. Please see full Newsletter below for more information. …more

Adidas, Class Action, Discount Pricing, Fashion Industry, FTC

See All Updates »

Six Key Takeaways from ICANN 53 in Buenos Aires

The 53rd international meeting of the Internet Corporation for Assigned Names and Numbers (ICANN) formally concluded on Thursday, June 25, 2015, in Buenos Aires, Argentina. As always, the ICANN community discussed several…more

Brand, Domain Names, gTLD, ICANN, Internet Assigned Numbers Authority (IANA)

See All Updates »

Proposed Treasury Regulations Provide Additional Flexibility, Clarity and Planning Opportunities to Sponsors of Deferred Compensation Arrangements

The IRS recently issued proposed regulations under Internal Revenue Code Section 457 that address, among other things, the interplay between Code Section 457(f) and Code Section 409A. Additionally, the IRS issued clarifying…more

Deferred Compensation, Forfeiture, Income Taxes, Internal Revenue Code (IRC), IRS

See All Updates »

DeCoster Decision—What Food and Beverage Companies Need To Know

In a recent US Court of Appeals decision that every food and beverage executive should note, the Eighth Circuit ruled that two "responsible corporate officers" must serve jail time for failing to prevent the distribution of…more

Appeals, Criminal Investigations, FDCA, Food Manufacturers, Food Safety

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Significant Changes to Form ADV and Performance Advertising Rules Adopted

On August 25, the Securities and Exchange Commission (SEC) adopted amendments to Form ADV and to certain rules promulgated under the Investment Adviser Act of 1940, as amended (the "Advisers Act"). These amendments will be…more

Advertising, Disclosure Requirements, Form ADV, Investment Adviser, Recordkeeping Requirements

See All Updates »

OSHA Provides Guidance on Health Care and Nursing Facility Enforcement Initiative

The federal Occupational Safety and Health Administration (OSHA) recently released a memorandum clarifying its enforcement efforts against the inpatient health care and nursing home industries. The list of covered facilities is…more

General Duty Clause, Healthcare, Healthcare Facilities, Hospitals, New Guidance

See All Updates »

US Supreme Court Adds to District Court's Ability to Award Enhanced Patent Damages

On June 13, the US Supreme Court handed down an important unanimous decision relaxing the standard for an award of enhanced patent damages under 35 U.S.C. § 284. See Halo Electronics, Inc. v. Pulse Electronics, Inc., 579 U.S…more

35 U.S.C. § 284, Enhanced Damages, Halo v Pulse, Judicial Discretion, Patent Infringement

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IRS and US Department of Labor Continue to Expand, Encourage and Simplify Correction Programs in 2013 Updates to EPCRS and DFVCP

Plan sponsors know that errors and failures in administering a retirement plan happen. All too often, changes in administrators, service providers and other staff uncover errors and compliance problems that should be corrected…more

Benefit Plan Sponsors, EBSA, EPCRS, ERISA, IRS

See All Updates »

Landmark Trade Secrets Law Creates New Federal Civil Cause of Action and Compliance Obligations for All Employers

Earlier today, President Obama signed into law the Defend Trade Secrets Act (DTSA). The landmark legislation is significant. For the first time, federal civil protection is afforded to trade secrets alongside copyrights, patents…more

See All Updates »

2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

See All Updates »

Be Prepared: New Commercial Lease Disclosure Requirements Under California Disability Access Laws Take Effect July 1, 2013

In the fall of 2012, California Governor Jerry Brown signed Senate Bill 1186 (SB 1186). Among other things, SB 1186 reforms California’s disability access laws by: (1) banning pre-lawsuit letters from lawyers demanding money;…more

Commercial Leases, Disability, Disability Access Claims, New Legislation

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SEC Brings Complaint in $68 Million Affinity Fraud Scheme

On July 6, the Securities and Exchange Commission filed a complaint in connection with a $68 million affinity fraud scheme allegedly orchestrated by Bingqing Yang, through her wholly owned management companies, Luca…more

China, Civil Monetary Penalty, Disgorgement, EB-5, Foreign Investment

See All Updates »

2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

See All Updates »

Withholding Tax Contrary to EU Law: The Brisal Case

On 13 July, the Court of Justice of the European Union (CJEU) released its decision in the Brisal case (C-18/15). The Brisal case has potentially far reaching implications for European Union (EU) businesses that either currently…more

Corporate Taxes, EU, Member State, TFEU, Withholding Tax

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Municipal Advisors and "Bank Purchase" Bonds: What's All the Commotion About?

There has been a renewed focus in recent months on how to determine which regulatory regimes apply to the various parties involved in private placements of municipal debt. The very public controversy over the question of whether…more

See All Updates »

IRS Ruling Creates Opportunities for Tax Savings by Companies With Substantial Real Estate Assets

On July 29, Windstream announced that it plans to spin off certain telecommunications network assets into an independent, publicly traded real estate investment trust (REIT). Windstream made the announcement after it obtained a…more

Corporate Taxes, Income Taxes, IRS, Mortgage REITS, REIT

See All Updates »

Senator Elizabeth Warren Criticizes SEC Chair Mary Jo White for “Extremely Disappointing” Leadership

In a letter dated June 2, 2015, Senator Elizabeth Warren described several “promises” that Mary Jo White, chair of the Securities and Exchange Commission, had allegedly broken. Senator Warren focused on (1) the SEC’s failure to…more

Campaign Contributions, Disclosure Requirements, Dodd-Frank, Elizabeth Warren, Executive Compensation

See All Updates »

The Katten Kattwalk | Issue 09

The Katten Kattwalk discusses legal issues in the fashion industry affecting the trademarks, patents and copyrights associated with companies, brands and products. Please see full Newsletter below for more information. …more

Adidas, Class Action, Discount Pricing, Fashion Industry, FTC

See All Updates »

OSHA Provides New Guidance on Unacceptable Whistleblower Settlements, Ensures Whistleblowers Cannot Waive Right to Receive Awards

In a memorandum dated September 15, OSHA has made explicit that it will not approve any settlement agreements between employers and employees that discourage the employee from acting as a whistleblower…more

OSHA, Settlement Agreements, Whistleblowers

See All Updates »

2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

See All Updates »

2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

See All Updates »

District Court Denies Distressed Funds the Right to Vote on Bankruptcy Plan

The US District Court for the Western District of Washington (the "District Court") recently affirmed a bankruptcy court decision that prohibited a transferee of a secured lender's interest in a loan from voting on a debtor's…more

Assignees, Commercial Bankruptcy, Debt, Lenders, Loan Agreements

See All Updates »

Clouds on the Horizon for Claim Purchasers in the Third Circuit

In a decision of significance to the distressed claims trading community, the US Court of Appeals for the Third Circuit in In re KB Toys Inc. recently held that any risk or “cloud” of disallowance under the Bankruptcy Code…more

Assignments, Avoidable Transfer, Chapter 11, Commercial Bankruptcy, Disallowance Defense

See All Updates »

Municipal Bankruptcies: An Overview and Recent History of Chapter 9 of the Bankruptcy Code

The City of Detroit filed for protection under chapter 9 of the Bankruptcy Code on July 18, 2013,[1] becoming the largest municipality to ever file for bankruptcy. Detroit’s bankruptcy filing presents numerous complicated…more

Chapter 9, Detroit, Municipal Bankruptcy, Municipal Bonds, Municipalities

See All Updates »

Corporate and Financial Weekly Digest - Volume XI, Issue 34

SEC/CORPORATE - SEC Increases Registration Statement Filing Fees for Fiscal Year 2017 - On August 31, the Securities and Exchange Commission announced that, effective October 1, the fees that public companies and other…more

Electronic Filing, EU, Filing Fees, IOSCO, MSRB

See All Updates »

Illinois House Considers Bill to Allow “Bonding Off” of Mechanics Liens

Lenders in Illinois might want to take note of pending Illinois House Bill 2804. The bill would amend the Mechanics Lien Act, so as to allow “bonding off” of mechanic liens for the first time in Illinois. Nearly every state but…more

Bonds, Lenders, Mechanics Lien, Proposed Legislation

See All Updates »

OSHA Provides New Guidance on Unacceptable Whistleblower Settlements, Ensures Whistleblowers Cannot Waive Right to Receive Awards

In a memorandum dated September 15, OSHA has made explicit that it will not approve any settlement agreements between employers and employees that discourage the employee from acting as a whistleblower…more

OSHA, Settlement Agreements, Whistleblowers

See All Updates »

US Supreme Court Briefing of Greenhouse Gas Cases Completed — Oral Argument Scheduled for February 24, 2014

Briefing has just concluded in a matter before the US Supreme Court involving challenges to the suite of greenhouse gas (GHG) cases decided by the US Court of Appeals for the District of Columbia Circuit in June 2012. In October…more

Carbon Emissions, Clean Air Act, Environmental Policies, EPA, Greenhouse Gas Emissions

See All Updates »

Corporate and Financial Weekly Digest - Volume XI, Issue 36

BROKER-DEALER - SEC Chair Gives Speech on Equity Market Structure - On September 14, Securities and Exchange Commission Chair Mary Jo White gave a speech titled “Equity Market Structure in 2016 and for the Future” at…more

AML/CFT, Dodd-Frank, Equity Markets, EU, Exchange-Traded Products

See All Updates »

2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

See All Updates »

Corporate and Financial Weekly Digest - Volume XI, Issue 36

BROKER-DEALER - SEC Chair Gives Speech on Equity Market Structure - On September 14, Securities and Exchange Commission Chair Mary Jo White gave a speech titled “Equity Market Structure in 2016 and for the Future” at…more

AML/CFT, Dodd-Frank, Equity Markets, EU, Exchange-Traded Products

See All Updates »

Section 16(b) Decision Provides Important Guidance

A recent opinion by the US District Court for the Southern District of New York denying a motion to dismiss “short-swing” profit claims under Section 16(b) of the Securities Exchange Act of 1934 against members of an alleged…more

Hedge Funds, Investment Adviser, Motion to Dismiss, Securities Exchange Act, Shareholders

See All Updates »

SEC Chair Addresses Advisory Committee on Small and Emerging Companies

On February 25, Securities and Exchange Commission Chair Mary Jo White addressed members of the SEC’s Advisory Committee on Small and Emerging Companies (Committee) at the opening of the Committee’s most recent meeting. As…more

Capital Formation, Crowdfunding, Emerging Growth Companies, Regulation A, SEC

See All Updates »

Personal Service With a Smile: A History of California’s “Seven-Year” Rule

Seven Years Hard Labor [Code]- In 1872, Yellowstone National Park was established as the world’s first national park, President Ulysses S. Grant signed the Amnesty Act restoring civil rights to most (but not all)…more

Legal History

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Matria Healthcare Insider Traders Will Go to Trial

The US District Court for the Northern District of Georgia denied a motion for partial summary judgment in the Security and Exchange Commission’s insider trading case against Earl Arrowood and Parker Petit. The SEC alleges that…more

Healthcare, Insider Trading, Mergers, SEC, Trials

See All Updates »

2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

See All Updates »

Fourth Circuit Affirms Conviction in Virginia Bank Fraud Case

The US Court of Appeals for the Fourth Circuit recently affirmed convictions for conspiracy to commit bank fraud and other related charges against three former executives of the Bank of the Commonwealth. In 2008, the Bank…more

Appeals, Banks, C-Suite Executives, Community Banks, Conspiracies

See All Updates »

Delaware Court of Chancery Rejects Controlling Stockholder Claims and Applies Business Judgment Rule to Merger Suits

In In re KKR Financial Holdings LLC Shareholder Litigation, C.A. No. 9210 (Del. Ch. Oct. 14, 2014), the Delaware Court of Chancery dismissed a shareholder derivative suit brought by shareholders of KKR Financial Holdings LLC…more

Breach of Duty, Business Judgment Rule, Controlling Stockholders, Derivative Suit, Shareholder Litigation

See All Updates »

The DOJ FCPA Enforcement Plan and Guidance Encourages Voluntary Self-Disclosure and Cooperation in Exchange for Additional Mitigation Credit

On April 5, 2016, the Fraud Section of the U.S. Department of Justice's Criminal Division issued a much-awaited Enforcement Plan and Guidance ("Guidance") on the Foreign Corrupt Practices Act (FCPA or the "Act"). This Guidance…more

Cooperation, DOJ, FCPA, Strategic Enforcement Plan, Voluntary Disclosure

See All Updates »

Corporate and Financial Weekly Digest - Volume XI, Issue 34

SEC/CORPORATE - SEC Increases Registration Statement Filing Fees for Fiscal Year 2017 - On August 31, the Securities and Exchange Commission announced that, effective October 1, the fees that public companies and other…more

Electronic Filing, EU, Filing Fees, IOSCO, MSRB

See All Updates »

The DOJ FCPA Enforcement Plan and Guidance Encourages Voluntary Self-Disclosure and Cooperation in Exchange for Additional Mitigation Credit

On April 5, 2016, the Fraud Section of the U.S. Department of Justice's Criminal Division issued a much-awaited Enforcement Plan and Guidance ("Guidance") on the Foreign Corrupt Practices Act (FCPA or the "Act"). This Guidance…more

Cooperation, DOJ, FCPA, Strategic Enforcement Plan, Voluntary Disclosure

See All Updates »

Landmark Trade Secrets Law Creates New Federal Civil Cause of Action and Compliance Obligations for All Employers

Earlier today, President Obama signed into law the Defend Trade Secrets Act (DTSA). The landmark legislation is significant. For the first time, federal civil protection is afforded to trade secrets alongside copyrights, patents…more

See All Updates »

Corporate and Financial Weekly Digest - Volume XI, Issue 35

BROKER-DEALER FINRA – Proposes Changes to Its Inter-Dealer Quotation System for OTC Equity Securities – The Financial Industry Regulatory Authority has proposed changes to its inter-dealer quotation system referred to…more

Cybersecurity, Financial Conduct Authority (FCA), FINRA, Japan, MiFID II

See All Updates »

A Week of Trade: Congress Advances Numerous Trade Bills

This past week saw more congressional activity on trade legislation than has been seen in some time. Both houses of US Congress marked up and advanced badly needed and long-overdue legislation in a number of areas relevant to…more

Generalized Scheme of Preferences, Multilateral Agreement, Pending Legislation, Trade Adjustment Assistance, Trade Agreements

See All Updates »

SEC Chair Attempts to Reassure Compliance Officers That They Will Not Be Targeted

Demonstrating the effect recent enforcement efforts have had on the industry, in remarks given in Washington, DC at a Compliance Outreach Program for broker-dealers, Securities and Exchange Commission Chairman Mary Jo White…more

Chief Compliance Officers, Enforcement, Mary Jo White, SEC

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Corporate and Financial Weekly Digest - Volume IX, Issue 36

In this issue: - Bylaw of Delaware Corporation Providing for Exclusive Forum in North Carolina Upheld - FINRA Board to Consider Rule Proposals Regarding Private Trading Platforms - CBOE and C2 in Discussions…more

AIFM, AIFMD, Banks, Bitcoin, CBOE

See All Updates »

FTC Announces Revised Hart-Scott-Rodino Filing Thresholds

On January 21, the Federal Trade Commission (FTC) announced the new filing thresholds that will apply to mergers and acquisitions under the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended (the HSR Act). The…more

FTC, Hart-Scott-Rodino Act, Size of Persons Test, Size of Transaction Test, Threshold Requirements

See All Updates »

2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

See All Updates »

Proposed Regulations Under Internal Revenue Code Section 2704: Changes May Be Coming to Transfers of Closely Held Business Interests

On August 2, 2016, the Treasury Department issued proposed regulations under the authority provided in Section 2704(b) of the Internal Revenue Code (the "Code"). These proposed regulations were much anticipated by the estate…more

Business Succession, Closely Held Businesses, Family Businesses, IRS, Proposed Regulation

See All Updates »

Structuring Equity Interests for Independent Sponsors

In a traditional private equity fund, the fund managers will raise money from investors to establish a pool of capital the fund can then use to invest in a number of portfolio companies. A big benefit of a fund is that the fund…more

Carried Interest, Financial Sponsors, IRS, Private Equity Funds

See All Updates »

Delaware Supreme Court Holds That Plaintiffs Must Specifically Plead Non-Exculpated Claims Against Disinterested Directors in Transaction Under Entire Fairness Review to Survive Motion to Dismiss

In In re Cornerstone Therapeutics Inc. Stockholder Litigation/Leal v. Meeks, the Delaware Supreme Court reversed decisions of the Delaware Chancery Court denying director-defendants’ motions to dismiss breach of fiduciary duty…more

Breach of Duty, Burden of Proof, Controlling Stockholders, DE Supreme Court, Exculpatory Clauses

See All Updates »

Bail-In and Contractual Recognition: The Impact on US and Other Non-EU Counterparties and the Potential Impact of Brexit

Following the 2008 banking crisis, governments around the world found themselves having to bail out large financial institutions by injecting capital to help those institutions continue to service their debts. In Europe, the…more

Bail-In Provisions, BRRD, Counterparties, EU, Financial Crisis

See All Updates »

Illinois House Considers Bill to Allow “Bonding Off” of Mechanics Liens

Lenders in Illinois might want to take note of pending Illinois House Bill 2804. The bill would amend the Mechanics Lien Act, so as to allow “bonding off” of mechanic liens for the first time in Illinois. Nearly every state but…more

Bonds, Lenders, Mechanics Lien, Proposed Legislation

See All Updates »

Corporate and Financial Weekly Digest - Volume XI, Issue 27

BREXIT UPDATE - Nathaniel Lalone, a Financial Services partner at Katten Muchin Rosenman UK LLP, will continue to share his insight into the evolution of the relationship between the United Kingdom and European Union in the…more

Block Trades, C&DIs, Comment Period, EU-US Privacy Shield, GAAP

See All Updates »

Corporate and Financial Weekly Digest - Volume IX, Issue 36

In this issue: - Bylaw of Delaware Corporation Providing for Exclusive Forum in North Carolina Upheld - FINRA Board to Consider Rule Proposals Regarding Private Trading Platforms - CBOE and C2 in Discussions…more

AIFM, AIFMD, Banks, Bitcoin, CBOE

See All Updates »

2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

See All Updates »

Federal Circuit Issues Decision Affirming Obviousness of a Molecule Patent Claim

On June 12, 2014, the US Court of Appeals for the Federal Circuit issued a precedential opinion affirming the obviousness of a patent claim directed to a drug molecule. Bristol-Myers Squibb Co. v. Teva Pharms. USA, Inc., ___…more

Bristol-Myers Squibb, Obviousness, Patent Infringement, Patent Litigation, Patents

See All Updates »

A Week of Trade: Congress Advances Numerous Trade Bills

This past week saw more congressional activity on trade legislation than has been seen in some time. Both houses of US Congress marked up and advanced badly needed and long-overdue legislation in a number of areas relevant to…more

Generalized Scheme of Preferences, Multilateral Agreement, Pending Legislation, Trade Adjustment Assistance, Trade Agreements

See All Updates »

Corporate and Financial Weekly Digest - Volume IX, Issue 36

In this issue: - Bylaw of Delaware Corporation Providing for Exclusive Forum in North Carolina Upheld - FINRA Board to Consider Rule Proposals Regarding Private Trading Platforms - CBOE and C2 in Discussions…more

AIFM, AIFMD, Banks, Bitcoin, CBOE

See All Updates »

SEC Proposed Rule 18f-4 Would Severely Restrict Use of Derivatives by Investment Companies

On December 11, 2015, the Securities and Exchange Commission proposed a new rule, Rule 18f-4, under the Investment Company Act (ICA), to regulate certain types of financial commitments made by investment companies, including…more

Derivatives, Investment Companies, Proposed Regulation, Rule 18f-4, SEC

See All Updates »

The Katten Kattwalk | Issue 09

The Katten Kattwalk discusses legal issues in the fashion industry affecting the trademarks, patents and copyrights associated with companies, brands and products. Please see full Newsletter below for more information. …more

Adidas, Class Action, Discount Pricing, Fashion Industry, FTC

See All Updates »

Municipal Bankruptcies: An Overview and Recent History of Chapter 9 of the Bankruptcy Code

The City of Detroit filed for protection under chapter 9 of the Bankruptcy Code on July 18, 2013,[1] becoming the largest municipality to ever file for bankruptcy. Detroit’s bankruptcy filing presents numerous complicated…more

Chapter 9, Detroit, Municipal Bankruptcy, Municipal Bonds, Municipalities

See All Updates »

District Court Denies Distressed Funds the Right to Vote on Bankruptcy Plan

The US District Court for the Western District of Washington (the "District Court") recently affirmed a bankruptcy court decision that prohibited a transferee of a secured lender's interest in a loan from voting on a debtor's…more

Assignees, Commercial Bankruptcy, Debt, Lenders, Loan Agreements

See All Updates »

Corporate and Financial Weekly Digest - Volume XI, Issue 27

BREXIT UPDATE - Nathaniel Lalone, a Financial Services partner at Katten Muchin Rosenman UK LLP, will continue to share his insight into the evolution of the relationship between the United Kingdom and European Union in the…more

Block Trades, C&DIs, Comment Period, EU-US Privacy Shield, GAAP

See All Updates »

Bankruptcy Court Finds Tenant Cannot Assume Commercial Lease After Waiving Rights to Seek Relief From Forfeiture Under California Law

The US Bankruptcy Court for the Central District of California (the "Court") recently upheld the validity of a commercial lease provision by which a debtor/tenant waived its rights to seek relief from forfeiture (i.e.,…more

Commercial Bankruptcy, Commercial Leases, Commercial Tenants, Forfeiture, Tenants

See All Updates »

Proposed Treasury Regulations Provide Additional Flexibility, Clarity and Planning Opportunities to Sponsors of Deferred Compensation Arrangements

The IRS recently issued proposed regulations under Internal Revenue Code Section 457 that address, among other things, the interplay between Code Section 457(f) and Code Section 409A. Additionally, the IRS issued clarifying…more

Deferred Compensation, Forfeiture, Income Taxes, Internal Revenue Code (IRC), IRS

See All Updates »

Fifth Circuit Decision in Citgo Case May Place Limits on Criminal Liability Under Migratory Bird Treaty Act

On September 4, 2015, the US Court of Appeals for the Fifth Circuit reversed convictions of CITGO Petroleum Corporation and CITGO Refining and Chemical Company, L.P. (collectively "Citgo"), and in so doing placed potentially…more

Appeals, Citgo, Clean Air Act, Criminal Penalties, Energy Sector

See All Updates »

Federal Circuit Recognizes an Exception to Inter Partes Review Estoppel Provisions

On March 23, the US Court of Appeals for the Federal Circuit issued a decision endorsing an exception to the estoppel provisions for inter partes review (IPR) under 35 U.S.C § 315(e). Shaw Industry Group, Inc. v. Automated Creel…more

Estoppel, Inter Partes Review Proceedings, Mandamus Petitions, Patent Trial and Appeal Board, Prior Art

See All Updates »

The DOJ FCPA Enforcement Plan and Guidance Encourages Voluntary Self-Disclosure and Cooperation in Exchange for Additional Mitigation Credit

On April 5, 2016, the Fraud Section of the U.S. Department of Justice's Criminal Division issued a much-awaited Enforcement Plan and Guidance ("Guidance") on the Foreign Corrupt Practices Act (FCPA or the "Act"). This Guidance…more

Cooperation, DOJ, FCPA, Strategic Enforcement Plan, Voluntary Disclosure

See All Updates »

DOJ and DOL Expand and Promote the Worker Endangerment Initiative

The US Department of Justice (DOJ) has announced an expanded national initiative to pursue criminal charges in cases involving worker endangerment. Deputy Attorney General Sally Quillian Yates directed all 93 United States…more

Criminal Prosecution, DOJ, DOL, Employer Liability Issues, OSHA

See All Updates »

Marketing Investment Management Services to Public Retirement Systems: Complying with Applicable Laws and Regulations

It is well-known that high-profile jurisdictions such as California and New York City have in certain instances placed lobbyist registration requirements on investment managers that solicit investment advisory business from…more

Investment Management, Marketing, New Regulations, Pensions, Retirement

See All Updates »

Bail-In and Contractual Recognition: The Impact on US and Other Non-EU Counterparties and the Potential Impact of Brexit

Following the 2008 banking crisis, governments around the world found themselves having to bail out large financial institutions by injecting capital to help those institutions continue to service their debts. In Europe, the…more

Bail-In Provisions, BRRD, Counterparties, EU, Financial Crisis

See All Updates »

SEC Adopts Regulation AB II

On August 27, the Securities and Exchange Commission at an open meeting unanimously adopted Regulation AB II (Reg AB II). The final rule provides significant revisions to Regulation AB, which provides the rules regarding the…more

Asset-Backed Securities, Disclosure Requirements, Dodd-Frank, EDGAR, New Regulations

See All Updates »

NYSE Proposes Rule To Expand Pre-market Notice Period Prior to Disseminating Material News

On August 27, the New York Stock Exchange (NYSE) filed with the SEC a proposed rule change to: (1) require NYSE-listed companies to notify the NYSE prior to disseminating material news if such dissemination occurs between…more

Listing Standards, Notice Requirements, NYSE, Proposed Regulation, SEC

See All Updates »

2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

See All Updates »

Brexit: Implications for the Financial Services Industry

The UK has voted to cease being an EU member state. Yesterday, June 23, 2016, the UK held a referendum on its future in the European Union (EU)—the "Brexit". The result this morning shows that 51.9% of voters in the UK want…more

Bilateral Agreements, Cross-Border Transactions, EEA, EU, Financial Institutions

See All Updates »

2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

See All Updates »

The FTC's Native Advertising Settlement With Lord & Taylor Highlights the Commission's Enforcement Priorities Under Its Recently Issued Guidance

On March 15, 2016, the Federal Trade Commission (FTC) announced a settlement with department store Lord & Taylor ("L&T") relating to native advertising for its Design Lab collection of clothing in various online materials,…more

FTC, Lord & Taylor, Misrepresentation, Native Advertising, New Guidance

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SEC Adopts Regulation AB II

On August 27, the Securities and Exchange Commission at an open meeting unanimously adopted Regulation AB II (Reg AB II). The final rule provides significant revisions to Regulation AB, which provides the rules regarding the…more

Asset-Backed Securities, Disclosure Requirements, Dodd-Frank, EDGAR, New Regulations

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Proposed Regulations Under Internal Revenue Code Section 2704: Changes May Be Coming to Transfers of Closely Held Business Interests

On August 2, 2016, the Treasury Department issued proposed regulations under the authority provided in Section 2704(b) of the Internal Revenue Code (the "Code"). These proposed regulations were much anticipated by the estate…more

Business Succession, Closely Held Businesses, Family Businesses, IRS, Proposed Regulation

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Corporate and Financial Weekly Digest - Volume XI, Issue 35

BROKER-DEALER FINRA – Proposes Changes to Its Inter-Dealer Quotation System for OTC Equity Securities – The Financial Industry Regulatory Authority has proposed changes to its inter-dealer quotation system referred to…more

Cybersecurity, Financial Conduct Authority (FCA), FINRA, Japan, MiFID II

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The Gathering Storm: Equity Compensation and 10b5-1 Plans Under Attack

In this presentation: - The Genesis – Merger Objection Cases - The New Wave of Injunction Cases - Say-on-Pay Injunction Cases - Share Issuance Injunction Cases - Post-Vote Derivative Cases -…more

10b5-1 Plans, Compliance, Derivative Suit, Equity Compensation, Injunctions

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2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

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Municipal Advisors and "Bank Purchase" Bonds: What's All the Commotion About?

There has been a renewed focus in recent months on how to determine which regulatory regimes apply to the various parties involved in private placements of municipal debt. The very public controversy over the question of whether…more

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Landmark Trade Secrets Law Creates New Federal Civil Cause of Action and Compliance Obligations for All Employers

Earlier today, President Obama signed into law the Defend Trade Secrets Act (DTSA). The landmark legislation is significant. For the first time, federal civil protection is afforded to trade secrets alongside copyrights, patents…more

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Municipal Advisors and "Bank Purchase" Bonds: What's All the Commotion About?

There has been a renewed focus in recent months on how to determine which regulatory regimes apply to the various parties involved in private placements of municipal debt. The very public controversy over the question of whether…more

See All Updates »

The Notice Provision of the Defend Trade Secrets Act (DTSA): What Employers Must Do Now

The Defend Trade Secrets Act (DTSA), which became effective on May 11, extends federal civil protection to trade secrets and allows companies and individuals to file private lawsuits to remedy a wrongful taking of their trade…more

Best Management Practices, Defend Trade Secrets Act (DTSA), Employer Liability Issues, Notice Requirements, Whistleblower Protection Policies

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Corporate and Financial Weekly Digest - Volume IX, Issue 11

In this issue: - NASDAQ Launches Marketplace for Private Companies - SEC Proposes Rules to Enhance Oversight of Clearing Agencies - FINRA Proposes to Amend Rules 2210 and 2214 - CME Group Exchanges…more

Audits, CFTC, Clearing Agencies, CME, FINRA

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Corporate and Financial Weekly Digest - Volume XI, Issue 34

SEC/CORPORATE - SEC Increases Registration Statement Filing Fees for Fiscal Year 2017 - On August 31, the Securities and Exchange Commission announced that, effective October 1, the fees that public companies and other…more

Electronic Filing, EU, Filing Fees, IOSCO, MSRB

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2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

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Corporate and Financial Weekly Digest - Volume XI, Issue 20

SEC/CORPORATE - SEC Division of Corporation Finance Issues 12 New and Revised C&DIs Regarding Non-GAAP Measures - As noted in the May 13 edition of Corporate and Financial Weekly Digest, SEC Chair Mary Joe White,…more

Auditors, C&DIs, Cybersecurity, EU, Financial Conduct Authority (FCA)

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A New Target for Distressed Investors: What Claims Traders Need to Know About Target Canada and Canadian Insolvency Law

On January 14, 2015, Target Corporation ("Target US") announced the exit of substantially all of its Canadian operations less than two years after opening its first Canadian stores in a strategic push to operate at least one…more

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Corporate and Financial Weekly Digest - Volume XI, Issue 36

BROKER-DEALER - SEC Chair Gives Speech on Equity Market Structure - On September 14, Securities and Exchange Commission Chair Mary Jo White gave a speech titled “Equity Market Structure in 2016 and for the Future” at…more

AML/CFT, Dodd-Frank, Equity Markets, EU, Exchange-Traded Products

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Corporate and Financial Weekly Digest - Volume XI, Issue 36

BROKER-DEALER - SEC Chair Gives Speech on Equity Market Structure - On September 14, Securities and Exchange Commission Chair Mary Jo White gave a speech titled “Equity Market Structure in 2016 and for the Future” at…more

AML/CFT, Dodd-Frank, Equity Markets, EU, Exchange-Traded Products

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California Energy Commission Implements New Energy Use Requirements

After several delays in implementation and enforcement by the California Energy Commission, California’s new energy use disclosure requirement commenced on January 1, 2014, for all non-residential buildings with a total gross…more

Energy, Energy Efficiency, Energy Policy, Utilities Sector

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US Patent and Trademark Office Considering Proposal to Allow Amendments to Trademark Identifications Due to Technological Changes

The US Patent and Trademark Office (USPTO) is currently considering a proposal to allow amendments to the identifications of goods/services in a trademark registration because of technological changes in how the goods/services…more

Popular, Technology, Trademark Litigation, Trademarks, USPTO

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SDNY Dismisses False Claims Act Complaint, Finding Relators Misconstrued Medicaid Program Legal Framework

A False Claims Act case against the New York City Department of Education (NYCDOE) was dismissed on March 25, the district court holding that Medicaid providers (such as school districts that provide health services) cannot be…more

DOJ, False Claims Act (FCA), Healthcare, Medicaid, Public Schools

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Six Key Takeaways from ICANN 53 in Buenos Aires

The 53rd international meeting of the Internet Corporation for Assigned Names and Numbers (ICANN) formally concluded on Thursday, June 25, 2015, in Buenos Aires, Argentina. As always, the ICANN community discussed several…more

Brand, Domain Names, gTLD, ICANN, Internet Assigned Numbers Authority (IANA)

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Municipal Bankruptcies: An Overview and Recent History of Chapter 9 of the Bankruptcy Code

The City of Detroit filed for protection under chapter 9 of the Bankruptcy Code on July 18, 2013,[1] becoming the largest municipality to ever file for bankruptcy. Detroit’s bankruptcy filing presents numerous complicated…more

Chapter 9, Detroit, Municipal Bankruptcy, Municipal Bonds, Municipalities

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Corporate and Financial Weekly Digest - Volume XI, Issue 34

SEC/CORPORATE - SEC Increases Registration Statement Filing Fees for Fiscal Year 2017 - On August 31, the Securities and Exchange Commission announced that, effective October 1, the fees that public companies and other…more

Electronic Filing, EU, Filing Fees, IOSCO, MSRB

See All Updates »

2015 Year-End Estate Planning Advisory

In 2015, we continued to experience a period of relative stability in our federal transfer tax system and have been able to plan without expecting imminent significant changes to the system. Under the American Taxpayer Relief…more

American Taxpayer Relief Act, Generation-Skipping Transfer, Gift Tax, Tax Planning, Tax Rates

See All Updates »

Sixth Circuit Rejects Claim Preclusion Where Fraudulent Conduct Concealed in a Prior Action

The US Court of Appeals for the Sixth Circuit recently reversed a district court’s decision to dismiss a complaint based on claim preclusion. In its complaint, Venture Global Engineering (VGE) alleged that Satyam Computer…more

Claim Preclusion, Fraud

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New York BitLicense Regulations Virtually Certain to Significantly Impact Transactions in Virtual Currencies

The New York State Department of Financial Services (NYDFS) recently issued its final BitLicense regulations with respect to Bitcoin and other virtual currencies. The new regulations require the licensing of, and establish…more

Bitcoin, BitLicense, BSA/AML, Capital Requirements, Compliance

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The Katten Kattwalk - Issue 06

In this issue: - “Google It”: The Search Engine’s Trademark May Be a Verb, But It’s Not Generic - You Say “Tom‘ah’to,” I Say “Tom‘ay’to”: Determining the Correct Pronunciation of Uniquely Coined Trademarks -…more

Domain Names, Exceptional Case, Fee-Shifting, Generic, Google

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Significant Changes to Form ADV and Performance Advertising Rules Adopted

On August 25, the Securities and Exchange Commission (SEC) adopted amendments to Form ADV and to certain rules promulgated under the Investment Adviser Act of 1940, as amended (the "Advisers Act"). These amendments will be…more

Advertising, Disclosure Requirements, Form ADV, Investment Adviser, Recordkeeping Requirements

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Attacks on Proxy Statement Compensation Disclosure: An Update on the Gathering Storm

In this presentation: - Update January 15, 2013 Presentation. More investigation notices, more lawsuits filed, more decisions reached. Trends are becoming more apparent in hindsight. - Say-on-pay. -…more

Derivative Suit, Executive Compensation, Injunctions, Proxy Statements, Say-on-Pay

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SDNY Holds No Attorney-Client Privilege Applies to Communications With In-House Legal Department in China

A US District Court in the Southern District of New York recently ordered Bank of China Limited (BOC) to produce thousands of documents that the court found not to be protected by the attorney-client privilege or work-product…more

Attorney-Client Privilege, China, Confidential Communications, Corporate Counsel

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Significant Changes to Form ADV and Performance Advertising Rules Adopted

On August 25, the Securities and Exchange Commission (SEC) adopted amendments to Form ADV and to certain rules promulgated under the Investment Adviser Act of 1940, as amended (the "Advisers Act"). These amendments will be…more

Advertising, Disclosure Requirements, Form ADV, Investment Adviser, Recordkeeping Requirements

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Questions and Answers Concerning the Final Prudential Regulator Margin Rules for Non-Cleared Swaps

BACKGROUND - The five US prudential regulators for swaps (the Federal Deposit Insurance Corporation, the Board of Governors of the Federal Reserve, the Comptroller of the Currency, the Farm Credit Administration and the…more

Covered Swap Entities (CSE), Financial Markets, Margin Requirements, Non-Cleared Swaps, Swap Dealers

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Contact

525 West Monroe Street
Chicago, Illinois 60661-3693, United States

Contact: Vincent A. F. Sergi, National Managing Partner

  • 312.902.5200
  • 312.902.1061

Areas of Practice
  • Alternative Dispute Resolution (ADR)
  • Antitrust & Trade Regulation
  • Appellate Practice
  • Art, Entertainment, & Sports Law
  • Bankruptcy
  • Business Organizations
  • Commercial Law & Contracts
  • Communications & Media Law
  • Construction Law
  • Debtor/Creditor
  • Energy & Utilities
  • Environmental Law
  • Finance & Banking
  • Health
  • Insurance
  • Intellectual Property
  • International Law & Trade
  • Labor & Employment Law
  • Litigation
  • Mergers & Acquisitions
  • Privacy
  • Real Estate
  • Securities Law
  • Taxation
  • Toxic Torts
  • Transportation
  • Wills, Trusts, & Estate Planning
  • Zoning, Planning & Land Use
See more
Locations
Other U.S. Locations
  • California
  • D.C.
  • Illinois
  • New York
  • North Carolina
  • Texas
Other Countries
  • China
  • United Kingdom
Number of Attorneys

400+ Attorneys

This profile may constitute attorney advertising. Prior results do not guarantee a similar outcome. Any correspondence with this profile holder does not constitute a client/attorney relationship. Neither the content on this profile nor transmissions between you and the profile holder through this profile are intended to provide legal or other advice or to create an attorney-client relationship.

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