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News & Analysis as of

Private Equity: The Next Wave of SEC Enforcement Actions?

Ever since the Dodd-Frank Wall Street Reform and Consumer Protection Act required many investment advisers to private equity funds to register with the SEC for the first time, fund managers knew that additional scrutiny might...more

AAA to Require Arbitration Clause Registration as Part of Revamped Consumer Rules

The American Arbitration Association (AAA) announced yesterday that beginning September 1, 2014, it will implement and maintain a publicly available Consumer Clause Registry. This will affect any company that designates the...more

All California Contractors and Subcontractors Involved with Public Works Projects Now Required to Register With State by March 1,...

Urgency Legislation SB 854 Passed by California Legislature - The California Legislature has imposed a new registration requirement for contractors and subcontractors involved with public works projects. Senate Bill...more

Electronic Blue Sky Filings: NASAA Proposes Model State Rules

The North American Securities Administrators Association, Inc. (NASAA) has released model rules relating to the use of its Electronic Filing Depository (EFD) system for Form D and state registration and notice filings. The...more

Certain Merger and Acquisition Brokers Escape SEC Registration

The SEC recently issued a no-action letter that allows private company M&A brokers who satisfy specific criteria to avoid registering as broker-dealers with the SEC. Historically, an intermediary in a private M&A transaction...more

D&O Claims – Overview of US Securities Law

The Securities Act of 1933 (“the 1933 Act”) regulates the process by which securities are first offered and sold to the public, and has two primary objectives: (1) to ensure that investors receive full and accurate...more

SEC Adopts Rules on Cross-Border Security-Based Swap Activities

On June 25, 2014, the Securities and Exchange Commission (“SEC” or “Commission”) unanimously adopted final rules regarding the application of “Security-Based Swap Dealer” and “Major Security-based Swap Participant”...more

Illinois Supreme Court Debates Effect of Failure to Register as Debt Collector

Our reports on the oral arguments during the May term of the Illinois Supreme Court continue with a direct appeal pursuant to Supreme Court Rule 302 – LVNV Funding v. Trice....more

NASAA Seeks Comment on a Model Rule for Electronic Blue Sky Filings

The North American Securities Administrators Association, Inc. (NASAA) posted a web notice requesting comment on model rules that would provide for electronic filings with the states of Form D and other state securities...more

Business Law Newsletter - July 2014

In This Issue: - Redskins Trademark Cancelled - Q&A with Bean, Kinney & Korman - Knowing When and Why to Maintain Your Trademarks - Tortious Interference in Virginia - Improper Methods...more

SEC Adopts Cross-Border Security-Based Swap Rules

On June 25, the SEC adopted the first of a series of rules and guidance on cross-border security-based swap activities for market participants. The rules and guidance explain when a cross-border transaction must be counted...more

Could Offensive Trademarks Find Refuge in Common Law?

The 177-page tome the Trademark Trial and Appeal Board (TTAB) just issued in Blackhorse v. Pro-Football Inc. is remarkable for its length and its subject matter, cancellation of the controversial REDSKINS mark as disparaging...more

A Football Team, by Any Other Name…: USPTO Decision Illustrates that Law is More than Hard & Fast Rules

At Meadowlawn Elementary in the 1960s, my West Michigan friends and I would boast about things that made us "better" than each other. It was the golden age of Superman comics and, while I didn't have super strength or x-ray...more

Trademark Rights around the World: It May Be BUDWEISER® in the US, But Not Everywhere

Anheuser-Busch, the venerable American beer brewer, and Budejovicky Budvar NP, a Czech beer brewer, have been fighting since the 19th century over rights around the world to the BUDWEISER trademark. A Czech town called Ceske...more

SEC Integrates Two Exempt Reporting Advisers to Determine Advisers Act Registration Status

The SEC settled public administrative proceedings against TL Ventures Inc., a venture capital fund adviser (the “VC Fund Adviser”) and Penn Mezzanine Partners Management, L.P. (the “Private Fund Adviser” and with the VC Fund...more

Beyond Disparaging: Five Important Clarifications Regarding Redskins Trademark Decision

Over the past year, debate regarding whether the National Football League’s Washington, D.C. franchise should continue to call itself the Redskins has risen to a fever pitch once again. So, naturally, it was big news when, on...more

SEC’s Final Municipal Advisor Registration Rules Will Take Effect on July 1, 2014

The Securities and Exchange Commission’s (SEC) temporary stay on its final municipal advisor rules under Section 15B of the Securities Exchange Act of 1934 (the “Exchange Act”) expires July 1, 2014. Accordingly, municipal...more

The Redskins Decision: Much Ado About (Probably) Not Much

I’ve been having fun listening to commentators – most of whom appear to know little or nothing about trademark law – expound on last week’s decision by the Trademark Trial and Appeal Board to cancel six trademark...more

"SEC Issues Fine in Pay-to-Play Rule and Registration Requirement Violation Case"

On June 20, 2014, the Securities and Exchange Commission ("SEC") censured and fined investment adviser TL Ventures Inc. for violating the SEC's pay-to-play rule, Rule 206(4)-5 (the "Rule"), and failing to properly register...more

Redskins’ trademark decision ushers in more questions - Cancellation of trademark registration may not have impact some believe

The Trademark Trial and Appeal Board (TTAB) of the U.S. Patent and Trademark Office (USPTO) most likely knew it was going to generate headlines Wednesday when it issued a monumental decision to cancel six registrations of the...more

Redskins trademark case highlights value of linguistic analysis

The Washington Redskins trademark case, with its conclusion that REDSKINS trademark registrations should be cancelled, has sparked heated discussion among football fans, advocates of Native American interests, and foes of...more

SEC’s First Advisers Act Pay-To-Play Action

The Commission brought its first pay-to-play action involving political campaign contributions under the Investment Advisers Act. The proceeding is predicated on the integration of two firms which claimed to be exempt from...more

The Redskins Decision: What It Means and Does Not Mean

On June 18, 2014, the Trademark Trial and Appeal Board (TTAB or Board) issued its ruling in Blackhorse v. Pro Football, Inc. (TTAB Cancellation No. 92046185) cancelling the Washington Redskins’ federal trademark registrations...more

USPTO Cancels Washington Redskins' Trademark Registrations

In a landmark case, the Unites States Patent and Trademark Office cancelled six trademark registrations associated with the National Football League team, the Washington Redskins, finding that use of the term "redskin" is...more

Redskins Trademark Cancelled – Q&A With Bean, Kinney & Korman

By now, you’ve no doubt heard the news that yesterday (June 18, 2014), the Trademark Trial and Appeal Board (TTAB), an administrative body of the U.S. Patent and Trademark Office (USPTO) cancelled the Washington NFL team’s...more

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