Russian Mergers & Acquisitions Market - Challenges and Opportunities
Data Center Industry Investment- Trends and Opportunities
International Investment in the US – Interview with Bill Weld, Former Massachusetts Governor; Member, Mintz Levin; Principal, ML Strategies
The Transformation of the VC Business Model – Interview with Bill Whelan, Member, Mintz Levin
Stealth Lawyer: Eli Broverman, Financial Startup Co-Founder
Confirmations: Plugging Into Electronic Confirmations
Corporate Law Report: Workplace Romances, FMLA Changes, California Tax News, and More
Can Feds Force Companies to Disclose Political Spending?
California Commercial Real Estate Forecast - Allen Matkins/UCLA Anderson Winter 2013 Survey Reveals Dip in Developer Sentiment
California Commercial Real Estate Forecast - Allen Matkins/UCLA Anderson Survey Results Reveal Tension Between Developer Sentiment & Action
HFT Rules: Three Part HFT Harmony
Digital Health: Where is the Action for Entrepreneurs?
Growth in the ETP industry has led the SEC to seek public comment on a variety of topics related to the listing and trading of ETP shares.
On June 12, the US Securities and Exchange Commission (SEC) issued a release (the...more
In August 2014, the UK Financial Conduct Authority (FCA) used its consumer protection powers for the first time and introduced temporary product intervention rules (Temporary Rules) that restricted the distribution of...more
The fundraising process requires countless hours to develop and refine an investor pitch. While the majority of that time will be focused on how to find and raise money from the best investors on the best terms, it is...more
This is an interesting decision because it explains what direct claims are available to investors in an LLC.
That is not always an easy question to answer. After all, some claims (including those involved in this case)...more
Foreign Finders -
The longstanding rules on foreign finders – when a brokerage firm can pay transaction-based compensation to a non-registered foreign finder – will be incorporated into new FINRA Rule 2040, effective...more
Marketplace lenders and investors that purchase interests in loans originated by banks should pay close attention as it could spawn a host of class action lawsuits if left standing.
In a controversial opinion decided on...more
Last Thursday, the SEC announced it reached settlement agreements with 36 municipal securities underwriting firms pursuant to its Municipalities Continuing Disclosure Cooperation (MCDC) Initiative. These settlements mark...more
English Premier League football clubs may start to look more attractive for investment following the League’s £5.14 billion live broadcasting deal with Sky and BT. The deal, for three years from the 2016-17 season, marks a...more
The SEC Office of Compliance Inspections and Examinations, or OCIE, has launched a multi-year Retirement-Targeted Industry Reviews and Examinations (ReTIRE) Initiative. OCIE is focusing on retirement-based savings in...more
On Tuesday, June 16, 2015, Governor Rick Scott signed into law a bill that will amend the Distressed Condominium Relief Act (the "2015 Amendment") by modifying the procedures and requirements imposed upon those seeking to...more
The U.S. Supreme Court in March provided important guidance on the support required for expressions of opinion or belief in registration statements. In Omnicare, Inc. v. Laborers District Council Construction Industry Pension...more
In a case involving a FINRA arbitration between investors and their financial advisor, Judge Anita S. Brody of the United States District Court for the Eastern District of Pennsylvania found that she did not have the...more
On June 12, the SEC issued a press release announcing that it is seeking public comment on how it should regulate exchange-traded products (ETPs), on how broker-dealers sell the securities, especially to retail investors, and...more
Earlier this month, the Securities Industry and Financial Markets Association (“SIFMA”) released its “Proposed Best Interests of the Customer Standard for Broker-Dealers” – an alternative to the U.S. Department of Labor’s...more
The SEC has been thinking harder before waiving automatic disqualifications that the federal securities laws and regulations impose on so-called "bad actors."
Without such waivers, companies may be barred from, among...more
Despite the attempt by the State of Montana’s securities division to stay the rule, Regulation A+ is effective as of today, June 19, 2015.
Regulation A+ allows companies organized in the U.S. and Canada to raise money...more
The SEC issued an Investor Alert which says fantasy stock trading for small amounts of money can violate provisions of securities laws implemented by the Dodd-Frank Act. I bet the Congressional drafters of these provisions...more
Increasingly, lawyers are identifying a purportedly injured plaintiff, a theory of liability, and a defendant, and then turning to a hedge fund to finance the lawsuit, perhaps with the help of a litigation finance specialist....more
A May 22, 2015 decision by the U.S. Court of Appeals for the Second Circuit appears to disturb the generally settled body of law concerning the status of non-bank investors with respect to applicable usury laws for...more
In This Issue:
- What is worth remembering from the first half of 2015?
- Judgments - so far this year…
..Jurisdiction for claims in relation to bearer bonds
..Exercise of contractual rights by...more
Minnesota has adopted an intrastate crowdfunding exemption referred to as “MNvest.” The legislation is meant to work in tandem with the federal exemption for intrastate offerings under Section 3(a)(11) of the Securities Act...more
The Securities and Exchange Commission (SEC) issued a release (Release) on June 12, 2015 seeking public comment on topics related to the listing and trading of exchange-traded products (ETPs) on national securities exchanges...more
Recently, a lot of media attention has been devoted to the growth in hedge fund activism and the question of whether rules regarding disclosure should be changed with respect to the number of days within which active...more
This interesting, but atypical case, involves one of the many possible issues that can arise from the use of unlicensed finders to raise securities.
Five years ago, Daniel Azouri met Marvin Lipschultz at the Cannes...more
SEC Provides Additional Analysis Related to Proposed Pay Ratio Disclosure Rules -
On June 4, the Securities and Exchange Commission provided additional analysis related to its proposed rules for pay ratio disclosure. The...more
Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up to create your digest using LinkedIn*
Back to Top