Burr & Forman

420 North 20th Street Suite 3400
Birmingham, AL 35203 , United States

  • (205) 251-3000
  • (205) 458-5100

MSRB Proposes Gift Limitations for Municipal Advisors

The MSRB last week proposed an extension of its gift-limitations Rule G-20 to encompass municipal advisors. The Proposed Rule generally limits gifts in relation to municipal securities or advisory services to $100 per year…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

Updates on Municipal Advisor Rules

Fiduciary Standard: "A municipal advisor and any person associated with such municipal advisor shall be deemed to have a fiduciary duty to any municipal entity for whom such municipal advisor acts as a municipal advisor,…more
| Finance & Banking, Securities Law

SEC Approves Supervision & Compliance Rule for Municipal Advisors

The SEC last week approved new MSRB Rule G-44 implementing supervision and compliance requirements for municipal advisors. The MSRB touted the Rule as “its first dedicated rule for municipal advisors” under the Dodd-Frank…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

Another Constitutional Challenge to SEC Administrative Forum

The drumbeats of discontent grow louder against the SEC’s more frequent use of its internal administrative forum for enforcement cases. I wrote about the current spate of Constitutional challenges to the agency’s forum in an…more
| Administrative Law, Constitutional Law, Securities Law

EPA Updates Rule for Site Assessments to Address the Innocent Landowner Defense

On October 6, 2014, the Environmental Protection Agency (“EPA”) adopted a final rule which will eventually eliminate one of the two recognized ASTM International standards to conduct environmental site assessments, which were…more
| Environmental Law, Zoning, Planning & Land Use, International Law & Trade

Banking & Financial Services E-Note - October 2014

In This Issue: - Obama Issues Order to Improve Data Security - Fed Official Calls for U.S. to Stop Bailing Out Banks - Global Regulators Crack Down on Shadow Banking to Curb Risks - CFPB Reports…more
| Education, Finance & Banking, Privacy, Consumer Protection, Science, Computers, & Technology

Halloween Scares and Non-Compete Agreements

Halloween is always a great time for adults and children. Just think about it, for at least one night we intentionally abandon every notion we teach our children about taking candy from strangers, not acting deceptively, not…more
| Commercial Law & Contracts, Labor & Employment Law

The Supreme Court Considers The Requirements For Removal

The Class Action Fairness Act of 2005 (“CAFA”) outlines the federal courts’ diversity jurisdiction over class actions. Among other things, it increased the amount in controversy to $5 million (28 U.S.C. § 1332(d)(2), (6)), and…more
| Civil Procedure, Securities Law

Dodd-Frank News: October 2014: Dodd-Frank Wall Street Reform and Consumer Protection Act Update

In This Issue: - RECENT CASES .. Mortgage Servicing Rules .. Antiretaliation Provision ..Credit Default Swaps Antitrust Litigation ..CFPB Involvement in Litigation - IN THE…more
| Antitrust & Trade Regulation, Civil Procedure, Finance & Banking, Consumer Protection, Real Estate - Residential

FINRA Requires New “Whistleblower” Clause in Settlement Agreements

Since 2004, FINRA has required its member firms to include in settlement-agreement confidentiality clauses an exception expressly allowing a customer to respond to regulatory inquiries. See Notice to Members 04-44. FINRA…more
| Commercial Law & Contracts, Finance & Banking, Consumer Protection, Securities Law

FINRA Addressing Market Risks: HFT, Algo’s, CARDS, CAT & Dark Pools

Carlo DiFlorio, FINRA’s Chief Risk Officer and Head of Strategy, told the annual meeting of the National Society of Compliance Professionals Monday that FINRA is emphasizing efforts to mitigate market risks, even as it regards…more
| Finance & Banking, Securities Law

Municipal Issuers Face Dec. 1 Deadline For MCDC Self-Reporting

State or local government entities, special tax districts, hospital districts and other municipal bond issuers face a December 1 deadline to respond to the SEC Enforcement Division’s “Municipalities Continuing Disclosure…more
| Commercial Law & Contracts, Securities Law

Sixth Circuit Narrows Collective-Knowledge For PSLRA Scienter

The US Sixth Circuit last week narrowed its standard for adequately pleading scienter in PSLRA cases using a collective-knowledge theory to impute knowledge to a corporate defendant from among various employees. In Omnicare, the…more
| Civil Procedure, Commercial Law & Contracts, Business Torts, Securities Law

Proposed FINRA Rule 2231 Governing Customer Account Statements

Through its recent Regulatory Notice 14- 35, the Financial Industry Regulatory Authority (“FINRA”) announced and sought comments on its proposed new Rule, FINRA Rule 2231, governing the frequency and availability of customer…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

Labor & Employment E-Note - October 2014

In this Issue: - High Court Considers If Workers Waiting in Line Should Get Paid - Some States Putting Minimum Wage Battle on Ballot - U.S. Labor Department Promoting Paid Maternity Leave - EEOC…more
| Civil Rights, Labor & Employment Law
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Areas of Practice
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100+ Attorneys

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