Burr & Forman

Group Urges Aider Standard for SEC Compliance-Officer Liability

In an August 18 letter to SEC Enforcement Director Ceresney, the National Society for Compliance Professionals (“NSCP”) urged the SEC to adopt an internal guideline requiring a higher “aiding and abetting” standard for…more
| Commercial Law & Contracts, Securities Law

FINRA Rule 2040 Goes Into Effect

On August 24, 2015, FINRA Rule 2040 concerning payments to unregistered persons went into effect. The rule, approved by the SEC in January 2015, is aligned with § 15(a) of the Securities Exchange Act of 1934. Generally, FINRA…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

Employee Relations, Title VII, and the Confederate Battle Flag

Many workplaces situated below the Mason-Dixon line will employ both those who feel the Confederate flag is a vital part of their heritage and self-expression, and also those who see the Confederate flag as a symbol of racism,…more
| Civil Rights, Labor & Employment Law

DC Circuit Tosses Republican’s Challenge to Adviser Pay-to-Play Rule

The District of Columbia Circuit Court of Appeals Tuesday rejected a challenge to the SEC’s investment-adviser pay-to-play rule, holding that two state Republican Party organizations filed it almost four years too late…more
| Commercial Law & Contracts, Elections & Politics, Finance & Banking, Securities Law

Seventh Circuit Affirms No Jurisdiction on Challenge to SEC Admin Courts

The first Court of Appeals to rule in the recent round of challenges to the Securities and Exchange Commission’s administrative enforcement mechanism has held courts lack authority to consider the matter. The US Seventh Circuit…more
| Administrative Law, Commercial Law & Contracts, Securities Law

Yet Another Florida Court Rejects Unpopular Decision on Statute of Limitations for Mortgage Foreclosure, But This Time it’s Another DCA

With its decision up on re-hearing, Florida’s Third District Court of Appeal may be rethinking its decision in Deutsche Bank Trust Co. Americas v. Beauvais, No. 3D14-575, 2014 WL 7156961 (Fla. 3d DCA Dec. 17, 2014). In…more
| Civil Procedure, Finance & Banking, Real Estate - Residential

TN Republican Party Loses Challenge to Adviser Pay-to-Play Rule

The District of Columbia Circuit Court of Appeals Tuesday rejected a challenge to the SEC’s investment-adviser pay-to-play rule, holding that New York and Tennessee Republican-Party organizations filed it almost four years too…more
| Commercial Law & Contracts, Elections & Politics, Finance & Banking, Securities Law

Eleventh Circuit: Entity Collecting Debt Acquired After Default Is Not Necessarily “Debt Collector” Under FDCPA

In Davidson v. Capital One Bank (USA), N.A., a case closely followed by the financial services industry and handled by Burr & Forman, LLP, the Eleventh Circuit held that an entity collecting a debt that was acquired after…more
| Consumer Protection, Finance & Banking

Eleventh Circuit Addresses TCPA Again: Confirms Validity of 1992 FCC Ruling on “Prior Express Consent”

It would be difficult to identify a federal circuit court of appeals that has released a larger number of influential consumer finance decisions in the last year than the Eleventh Circuit. And last week, the court continued its…more
| Communications & Media Law, Consumer Protection, Privacy

Hold that Friend Request: Legal Traps in a Post-Facebook Work Environment

Many well-meaning managers engage with employees on social media websites, and doing so provides a host of benefits: stronger relationships between employees and management; a sense of collegiality; instant updates on employees'…more
| Communications & Media Law, Labor & Employment Law, Privacy, Science, Computers, & Technology

FINRA Sweep Exam on Compensation Conflicts

FINRA this week released its targeted exam letter requesting information on firms’ conflict-of-interest policies surrounding broker compensation and retail accounts. The sweep follows up on FINRA’s Conflicts Report from…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

Tax Changes Included in the Trade Preferences Extension Act of 2015

The recently enacted Trade Preferences Extension Act of 2015 (the "Act") contains a number of tax provisions affecting businesses and individuals which have not been widely reported. The Act adds a requirement for claiming…more
| Taxation

Ohio District Court Distinguishes Date of Foreclosure Action from Date of Foreclosure Sale When Applying New CFPB Mortgage Rules

In Cooper v. Fay Servicing, LLC, 2015 WL 4470213 (S.D. Ohio July 17, 2015), the mortgagors sued the servicer of their real estate loan asserting claims for alleged violations of Regulation X relating to the loss mitigation…more
| Consumer Protection, Finance & Banking, Real Estate - Residential

CFPB Begins Supervising Nonbank Auto Finance Companies

Beginning August 31, 2015, the CFPB will begin supervising nonbank auto finance companies pursuant to 12 C.F.R. 1090.108. The Final Rule provides that auto finance companies that qualify as “larger participants of a market for…more
| Commercial Law & Contracts, Consumer Protection, Finance & Banking

Colorado Rules Baker Cannot Refuse Service to Same-Sex Couples for Religious Reasons

In a post last week, I discussed how some believe Tennessee’s version of the Religious Freedom Restoration Act (“RFRA”) could allow Tennessee businesses to refuse service to same-sex couples despite a recent ruling that…more
| Civil Rights, Constitutional Law
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