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Franchise Securities

Read need-to-know updates, commentary, and analysis on Franchise issues written by leading professionals.

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Chipotle and founder Steve Ells—which built an empire on the idea of offering a healthier, more authentic Mexican experience than its Tex-Mex fast food rivals—are turning ironically enough to Taco Bell’s CEO Brian Niccol to...more

A Review of Recent Whistleblower Developments

by Foley & Lardner LLP on

Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. Recent developments...more

What does the relaxation of foreign ownership rules in the UAE mean for franchising?

by Dentons on

The Cabinet of Ministers of the United Arab Emirates (UAE) recently issued Federal Law No. 18 of 2017, which amended certain provisions of the UAE commercial companies law (Federal Law No. 2 of 2015) (the CCL). The new law...more

May the Podcast Be With You-Part V, Rogue One and the Myth of the Rogue Employee

by Thomas Fox on

Welcome to the Day V and our final entry of this five-part podcast series Jay Rosen and I produced in honor of the latest Star Wars movie The Last Jedi. Each day over this week, Jay and I reviewed a In this final entry, we...more

Disclosure Considerations and Tax Reform

by Bracewell LLP on

The impact of tax reform is on the minds of many. While there are currently many unknowns, municipal issuers and conduit borrowers (collectively, “obligated persons”) should consider whether changes in tax law could impact...more

12 O'Clock High-Episode 67 Leadership Lessons from the Grant Presidency

by Thomas Fox on

In this episode, Richard Lummis and consider the leadership lessons from the Presidency of US Grant. The lessons include: 1. Reconstruction and the Civil Rights Acts, leading to the passage of the 15th Amendment; 2....more

Day 10 of One Month to 360 Degrees of Communication in Compliance- Limit Your Self-Reliance, Learn to Ask for Help

by Thomas Fox on

Many compliance professionals in the corporate world work long and hard to rise to the senior management level in their organizations. It takes subject matter expertise, hard work and sometime propitious good fortune to get...more

Is a Series LLC Right for Your Business?

by Mintz Levin on

The Series limited liability company (the “Series LLC”) is more nuanced than an ordinary limited liability company, and for the right user, it provides flexibility that will streamline administration better than other...more

A Review of Recent Whistleblower Developments

by Foley & Lardner LLP on

...On July 25, 2017, the U.S. Securities and Exchange Commission (SEC) announced it was awarding nearly $2.5 million to a government employee who tipped off the SEC to a company’s wrongdoing. Although the SEC does not...more

Across the Board-Episode 7, Brad Davis on the Board's Role in Data Security Oversight

by Thomas Fox on

In this episode I visit with data and IT security expert Brad Davis, CEO of EverSolve, a company specializing in data security. We discuss the role of the Board of Director's in data and IT security in both oversight and...more

Leadership Lesson from Andrew Jackson and Veto of the Second Bank Charter

by Thomas Fox on

In this episode, I consider the leadership lessons which can be drawn from our 7th President Andrew Jackson. I focus largely on the crisis surrounding the charter of the Second National Bank of the United States, which played...more

Minority Shareholders’ Derivative Suit Foiled by Voiding of Corporation’s Charter for Nonpayment of Taxes

by Farrell Fritz, P.C. on

A business’s failure to pay state taxes can be a problem if the entity later wants to bring a lawsuit, or its non-controlling owners want to sue on the entity’s behalf....more

FCPA COMPLIANCE REPORT-EPISODE 337, JAMES GELLERT ON ASSESSING 3RD PARTY FINANCIAL HEALTH FOR COMPLIANCE

by Thomas Fox on

In this episode, I visit with James Gellert, CEO of RapidRatings, a company which uses a financial dialogue to determine third party supplier health and viability. Gellert explains what supply chain resilience is and how...more

US Supreme Court: Five-Year Statute of Limitations Applies to SEC Disgorgement

by Morgan Lewis on

The Court’s opinion resolves a circuit split concerning the reach of disgorgement orders....more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Store-branded credit cards are still big business, but as the Times tells us, their contribution to companies’ bottom lines are masking bigger troubles at retailers around the US....more

A "reasonable basis" for FPRs: what to expect this renewal season from state franchise examiners in light of the proposed NASAA...

by DLA Piper on

Last fall, the North American Securities Administrators Association Inc. (NASAA) issued a notice of request seeking public comment on an updated proposed financial performance representations (or FPR) Commentary. The Federal...more

SEC Weighs In on Robo-Advisers: Disclosure, Suitability, and Compliance Obligations

by Morgan Lewis on

The SEC’s Guidance recognizes that robo-advisers are fiduciaries, and provides suggestions on how they can meet the substantive requirements of the Investment Advisers Act of 1940. ...more

Must A False Statement To A Franchisee Be Made “In this state”?

by Allen Matkins on

The list of instruments and interests included within the definition of a “security” in California Corporations Code Section 25019 is long. A franchise, however, is not to be found amongst the named. In fact, the statute...more

Regulation A+: A Capital-Rising Method that is Ready for Franchising

by Baker Donelson on

In a prior article published in Franchising Today, we addressed the intersection of franchises and crowdfunding, a method of business financing which was made legal through rulemaking on the part of the Securities and...more

SEC Staff Issues New C&DIs Related to Foreign Issuers

by Morrison & Foerster LLP on

On December 8, 2016, the Securities and Exchange Commission’s (“SEC”) Division of Corporation Finance (the “Staff”) released several new compliance and disclosure interpretations (“C&DIs”) clarifying the definition of...more

Alphabet Soup?

Several years have now passed since the financial crisis and the onslaught of regulations intended to prevent a future crisis. Regulatory reform has assuredly resulted in significant changes to our financial services sector....more

Major FCPA Enforcement Action Against Nation’s Largest Publicly Traded Hedge Fund

by King & Spalding on

In one of the largest FCPA settlements in history, hedge fund Och-Ziff Capital Management Group LLC (“Och-Ziff”) recently resolved a long-running government inquiry by agreeing to $413 million in financial penalties and a...more

FINRA to Conduct Targeted Exams of Unit Investment Trust Rollovers

FINRA recently announced that it will be conducting an inquiry into unit investment trust (“UIT”) rollovers. UITs generally are unmanaged registered investment companies that are comprised of a fixed portfolio of securities...more

FCPA Compliance and Ethics Report-Episode 276-Regulator Evolution

by Thomas Fox on

In this episode Red Flag Group CEO Scott Lane and I discuss how regulators thinking on best practices compliance programs has evolved. ...more

Ten Hallmarks of an Effective Compliance Program-Hallmark 7

by Thomas Fox on

In this podcast, I discuss the most vexing problem of a best practices compliance program, managing third party risk. ...more

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Cybersecurity

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