Bracewell & Giuliani LLP

SEC Issues Report on Increasing Use of Outsourced Chief Compliance Officers

In November 2015, the Securities and Exchange Commission (SEC) released its Outsourced CCO Initiative Report. The report addressed the increased trend of outsourcing compliance activities to third-party consultants within the…more
| Business Organizations, Finance & Banking, Securities Law

SEC Proposes Rules Requiring Public Disclosure of Operations and Activities of Alternative Trading Systems, Broker-Dealer Operators, and Affiliates

On November 18, 2015, the Securities and Exchange Commission (“SEC”) issued Release No. 34-76474 (the “Proposing Release”) in which the SEC proposed rules designed to enhance operational transparency and regulatory oversight of…more
| Finance & Banking, Securities Law

Dangerous Waters in the Safe Harbor: The EU-U.S. Safe Harbor for Data Transfer is Safe No More

On October 6, 2015, the European Court of Justice (ECJ), abolished the 15 year old Safe Harbor agreement between the EU and the U.S. Over 5,000 businesses have relied on the Safe Harbor to receive personal data from EU member…more
| Commercial Law & Contracts, Consumer Protection, International Law & Trade, Privacy, Science, Computers, & Technology

IRS Issues Final Regulations Regarding Allocation of Bond Proceeds to Mixed-Use Projects; SLGS Window Reopens

On October 26, 2015, the IRS released final regulations (the “Final Regulations”) regarding allocation and accounting rules for purposes of the private activity bond restrictions applicable to tax-exempt bonds issued by state…more
| Finance & Banking, Securities Law, Taxation, Zoning, Planning & Land Use

New Audit Rules May Impose Tax Liability on Partnerships

On November 2, 2015, President Obama signed into law the Bipartisan Budget Agreement of 2015 (the “Act”), which includes major changes to the partnership tax audit rules (the “New Audit Rules”). The Act repeals the current…more
| Business Organizations, Taxation

Obtaining Diminution in Value Damages for Seller Misrepresentations in M&A Agreements: New Ruling in the Southern District of New York

On September 28, 2015, the U.S. District Court for the Southern District of New York issued an Opinion and Order (the Opinion) in favor of our client, Stanley Black & Decker, Inc. (SB&D), in its litigation arising from SB&D’s…more
| Business Organizations, Civil Remedies, Commercial Law & Contracts, Mergers & Acquisitions

SEC and Hitachi Reach FCPA Settlement Over Corrupt Payments in South Africa

The U.S. Securities and Exchange Commission (SEC) recently announced a settlement with Hitachi, Ltd. over allegations that the company sold shares in a South African subsidiary to a front company for the African National…more
| Business Organizations, Criminal Law, Government Contracting, International Law & Trade, Securities Law

SEC Charges HFT Firm with Regulation NMS Violations

The SEC recently charged the high-frequency trading firm Latour Trading LLC (“Latour”) for violating Securities Exchange Act (“Exchange Act”) rule 15c3-5 (the “Market Access Rule”) and Exchange Act rule 611(c) (the “Order…more
| Administrative Law, Finance & Banking, Securities Law

SEC Announces First Cybersecurity Enforcement Action Against an Investment Adviser for Failure to Protect Client Data

On September 22, 2015, the Securities and Exchange Commission (SEC) announced its first cybersecurity-related enforcement action against an investment adviser for failure to protect customer records and information. According to…more
| Business Organizations, Finance & Banking, Privacy, Science, Computers, & Technology, Securities Law

NYSE Amends Timely Alert Policy

The New York Stock Exchange has amended the provisions of its Listed Company Manual concerning dissemination of material news by listed companies and the circumstances under which the NYSE may halt trading in listed securities. …more
| Business Organizations, Securities Law

SEC: 2015 Examination Priorities – Cybersecurity Compliance and Controls

Registered broker-dealers and investment advisers received a stern warning to strengthen their cybersecurity programs or face further regulatory scrutiny. On September 15, 2015, the SEC announced a plan to sharpen its focus on…more
| Business Organizations, Finance & Banking, Privacy, Science, Computers, & Technology, Securities Law

Fifth Circuit Rules Employer-Mandated Transit Time May Make Lunch Break Compensable

The Fifth Circuit Court of Appeals, which has jurisdiction over Texas, Louisiana and Mississippi, ruled Monday that security guards’ “off-the-clock” meal periods may be compensable when they were required to travel for 10 to 12…more
| Labor & Employment Law

DOJ: Companies, Serve Up Your Executives!

On September 9, 2015, the Department of Justice (“DOJ”) issued an internal memorandum regarding individual accountability for corporate wrongdoing. The memo, authored by Deputy Attorney General Sally Quillian Yates, is aimed at…more
| Business Organizations, Criminal Law, Finance & Banking, Securities Law

Delaware Court Holds Interested Directors Liable for "Fairer Price" In Going Private Transaction

In one of the largest ever M&A-related recoveries for shareholders, Vice Chancellor J. Travis Laster ordered Dole Food Company, Inc.’s Chairman and CEO, David Murdock, and Dole’s former President, COO and General Counsel, C…more
| Civil Procedure, Civil Remedies, Mergers & Acquisitions, Business Torts, Securities Law

Know Them Before They are Famous (or at least final): The Latest USPTO Proposed Rule Changes

On August 19, 2015, the United States Patent and Trademark Office (USPTO) released proposed rule changes for trials before the Patent Trial and Appeal Board (PTAB). The proposed rule changes were made in response to input…more
| Administrative Law, Civil Procedure, Intellectual Property
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711 Louisiana Street Suite 2300
Houston, Texas 77002-2770, United States

Contact: Michelle McCormick

  • (713) 223-2300
  • (713) 221-1212

Areas of Practice
  • Administrative Law
  • Alternative Dispute Resolution (ADR)
  • Antitrust & Trade Regulation
  • Appellate Practice
  • Bankruptcy
  • Business Organizations
  • Business Torts
  • Civil Rights
  • Class Action
  • Commercial Law & Contracts
  • Communications & Media Law
  • Constitutional Law
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  • Criminal Law
  • Debtor/Creditor
  • Education
  • Elections & Politics
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  • Environmental Law
  • Finance & Banking
  • Government
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  • Litigation
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  • Science, Computers, & Tech
  • Securities Law
  • Taxation
  • Toxic Torts
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  • Zoning, Planning & Land Use
See more
Other U.S. Locations
  • Connecticut
  • D.C.
  • New York
  • Texas
  • Washington
Other Countries
  • United Arab Emirates
  • 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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