Pay-To-Play

Trends in Legal Terms in Venture Financings in Israel 2012

by Barry J. Kramer, Michael J. Patrick | Fenwick & West LLP on 5/8/2013

Background — We have analyzed the terms of venture financings for Israeli and Israeli-related technology companies that reported raising money during 2012. Our survey does not include financing rounds of less than US...more

Better Business Bureau Shuts Down Southern California Chapter

by Michael Mallow, Michael Thurman | Loeb & Loeb LLP on 3/27/2013

The Better Business Bureau has announced that it has expelled its Southern California chapter following years of allegations that the local unit fostered a "pay for play" environment, requiring businesses to pay membership...more

SEC Releases 2013 Examination Priorities

by Meredith Haviland, Diana W. Lo, Robert Sawyer | Foley Hoag LLP on 3/1/2013

On February 21, 2013, the US Securities and Exchange Commission (the “SEC”) released its examination priorities for 2013. The priorities were published by National Examination Program (“NEP”), a program administered through...more

SEC Announces 2013 Examination Priorities for the Investment Management Industry

by Ropes & Gray LLP on 3/1/2013

The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) has published its list and discussion of examination priorities for the investment management industry in 2013, which includes both market-wide initiatives...more

Select Broker-Dealer, Investment Adviser, and Investment Company Enforcement Cases and Developments: 2012 Year in Review

by Morgan Lewis on 2/6/2013

This Outline highlights key U.S. Securities and Exchange Commission (the "SEC" or the "Commission") and Financial Industry Regulatory Authority ("FINRA") enforcement developments and cases regarding broker-dealers during...more

Goldman Sachs Pays First-Of-Its-Kind Settlement to Close Pay to Play Action with the SEC by Grant Nichols

by King & Spalding on 2/4/2013

On September 27, 2012, Goldman Sachs agreed to pay $12 million to settle claims with the Securities and Exchange Commission (“SEC”) alleging that one of its employees engaged in a pay-to-play scheme. The scheme, as described...more

Washington Insight: Corporate Lobbyist's Toolkit - January 2013

by King & Spalding on 2/4/2013

In This Issue: - Making Decisions on Corporate Campaign Expenditures - What’s in Store in Congresson Campaign Finance Reform? - DC Circuit Reversed Van Hollen. Players Changed Tactics to Avoid Disclosure. ...more

Skadden's 2013 Insights: Regulatory

by Skadden, Arps, Slate, Meagher & Flom LLP on 1/21/2013

Communications Law: The Relentless Pursuit of Broadband Competition - As the Obama administration enters its second term, the Federal Communications Commission (FCC or Commission) is one of many federal agencies likely...more

Orrick's Financial Industry Week in Review - December 3, 2012

by Orrick, Herrington & Sutcliffe LLP on 12/6/2012

In This Issue: - Financial Industry Developments · CFTC Final Rule on Clearing of Credit Default Swaps and Interest Rate Swaps · Fed, Treasury Proposed Amendments to Bank Secrecy Act Definitions...more

CFTC No-Action Letter on Pay-to-Play Rules for Swap Dealers

by Orrick - Structured Finance Group on 12/6/2012

On November 20, the CFTC issued a no-action letter on pay-to-play rules for swap dealers who conduct business with governmental special entities....more

Dodd-Frank Act Update: SEC Proposes Rules Applicable to Investment Advisers

by Duane Morris LLP on 12/8/2010

On November 19, 2010, the U.S. Securities and Exchange Commission (the "SEC") issued proposed rules, pursuant to title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act"). The proposed...more

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