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Financial Services Report – Winter 2017

by MoFo Reenforcement on

EDITOR’S NOTE - The holidays came early for the financial services industry. First, the Senate voted to repeal the CFPB’s rule banning class waivers in arbitration agreements in consumer financial contracts. Then,...more

European Commission Furthers its Initiative on Crowdfunding and Peer-to-Peer Lending Platforms

by Shearman & Sterling LLP on

The European Commission has published an Inception Impact Assessment on the possible introduction of legislation for crowdfunding and peer-to-peer lending. The Inception Impact Assessment discusses the need for the EU to...more

Crowdsourced Core Values: Beware

by NAVEX Global on

So there I was reading Twitter, and saw an item about online dating site OKCupid: it had imposed a lifetime ban on white supremacist Chris Cantwell, after other site members alerted OKCupid to Cantwell’s presence. A person...more

Class Action Roundup: Summer 2017

by Alston & Bird on

Welcome to our second Roundup of 2017, where we feature the cases litigated and settlements finalized during the second calendar quarter of the year. It was a very active quarter in almost all of the categories we monitor,...more

FAQs about the FINRA Communication Rules

Understanding Financial Industry Regulatory Authority, Inc. Rule 2210, Communications with the Public - What is Rule 2210, and what does it require? - Rule 2210 governs three categories of “communications” by FINRA member...more

The Guide to Social Media and the Securities Laws

The growing use of social media has created challenges for federal securities regulators, who must enforce antifraud rules that were written at a time when the prevailing technology was the newspaper. This Guide...more

SEC’s Latest Cybersecurity Risk Alert Identifies Elements of Robust Policies and Procedures

by Dorsey & Whitney LLP on

On August 7, 2017 the Securities and Exchange Committee (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) released yet another cybersecurity Risk Alert entitled, “Observations from Cybersecurity...more

FINRA Permits Related Performance Information in Institutional Communications for Registered Closed-End Funds

Introduction In an interpretive guidance letter issued to a registered closed-end fund on June 9, 2017, FINRA permitted the use of “related performance information” in communications that are distributed solely to...more

Judge Bumb Answers Key Question That No One Asked: TCPA Plaintiff Lacks Standing to Recover on Unanswered Calls

by Dorsey & Whitney LLP on

In Watkins v. Wells Fargo Bank, N.A., No. 15-cv-5712 (RMB)(KMW), 2017 U.S. Dist. LEXIS 84503 (D.N.J. June 2, 2017), the defendant challenged a plaintiff’s TCPA claim on MSJ, arguing that the plaintiff could not have revoked...more

Application of the U.S. Risk Retention Rules to “Indenture-Style” Cellular Tower Securizations

by Latham & Watkins LLP on

17 C.F.R. Part 246, adopted jointly by the Securities and Exchange Commission (“SEC”) and five other federal agencies in October of 2014 (the “U.S. Risk Retention Rules”), requires a sponsor of asset- backed securities...more

Structured Thoughts: News for the financial services community, Volume 8, Issue 4

FINRA’s Proposed Amendments to the Corporate Financing Rules – Impact on Structured Notes - In April 2017, FINRA released a set of significant proposed amendments to its Rule 5110, known as the “Corporate Financing Rule.” ...more

In Case You Missed It: Launch Links - April, 2017 #4

by WilmerHale on

Some interesting links we found across the web this week: Once Unicorns, Now Zombies - For entrepreneurs equating success with their startup being labeled the next “unicorn,” Fortune provides some insight as to the...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

In a holiday shortened week the Commission began preparation for argument before the Supreme Court in an action which could have a significant impact on its enforcement program. The question for resolution is whether the...more

Financial Services Quarterly Report - First Quarter 2017: Development of Crowdfunding in France

by Dechert LLP on

During the nascent stages of crowdfunding as a fund raising strategy, there was a great deal of uncertainty in France as to the legality of such activities. In 2014, initial regulations were enacted applicable to crowdfunding...more

SNAP IPO Debuts On NYSE

SNAP Inc., the parent company of Snapchat, went public yesterday with a valuation of approximately $33.4 billion. The Company raised $3.4 billion at $17 per share, and is now trading well above the IPO price. While SNAP has...more

Structured Thoughts: News for the financial services community, Volume 8, Issue 2

Identifying Conflicts of Interest in Structured Products Offerings - With FINRA and other regulators focused on conflicts of interest in the broker-dealer industry, market participants are working diligently to identify...more

All About Blockchain - Top 10 Blockchain Reads in 2016

by JD Supra Perspectives on

A JD Supra list of the top reads on Blockchain matters in 2016....more

SBA Office of Advocacy submits comment letter asking CFPB to reconsider payday loan proposal

by Ballard Spahr LLP on

The Small Business Administration’s Office of Advocacy has submitted a comment letter on the CFPB’s proposed payday loan rule that raises concerns about the proposal’s economic impact on small businesses and encourages the...more

FCC Liberalizes Rules for Foreign Investment in U.S. Broadcast Licensees

On September 30, 2016, the FCC adopted an order designed to liberalize and streamline the foreign ownership review process for broadcast licensees (the “Broadcast Liberalization Order”). Section 310(b) of the Communications...more

Perspective: The Accenture Blockchain Patent

by JD Supra Perspectives on

Blockchain innovators need to understand that they are working in an early-stage, evolving IP landscape where the potential risks are still very difficult to evaluate....more

It's All About Blockchain - Don't Miss These 7 Reads

by JD Supra Perspectives on

Don't miss these seven popular reads on Blockchain....more

FinTech Flash: Marketplace Lending Bank Partner as True Lender

by Goodwin on

In our last FinTech Flash we covered the pros and cons of marketplace lending platform companies entering into bank partnerships. If the arrangement is structured properly, two significant advantages result...more

SBA Office of Advocacy to host Sept. 14 roundtable on CFPB payday loan proposal

by Ballard Spahr LLP on

The Small Business Administration’s Office of Advocacy will host a roundtable in London, Kentucky on September 14, 2016 on the CFPB’s proposed payday loan rule. As the Office of Advocacy is an independent office within the...more

GAO issues report on CFPB SBREFA panels

by Ballard Spahr LLP on

The Government Accountability Office has issued a report on the CFPB’s use of Small Business Regulatory Enforcement Fairness Act (SBREFA) panels in its rulemaking process. The report, “Observations from Small Business Review...more

Realizing Value from Intellectual Property

by McAfee & Taft on

Everyone assumes that intellectual property has value, but how do you determine that value? Can you increase it, and can you damage it?...more

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