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Holland & Knight LLP

Treasury Department Announces Suspension of Sales of State and Local Government Series Securities

Holland & Knight LLP on

The U.S. Department of the Treasury's Bureau of the Fiscal Service (Treasury Department) announced on July 23, 2021, the suspension of sales of State and Local Government Series (SLGS) nonmarketable Treasury securities. The...more

Morgan Lewis

Japan Ministry of Finance Updates List of Company Classifications in Connection with FEFTA Filing

Morgan Lewis on

On July 7, 2021, the Japan Ministry of Finance (MOF) published an updated list of classifications of companies listed on Japanese exchanges requiring prior notifications of inward direct investment under the Foreign Exchange...more

Faegre Drinker Biddle & Reath LLP

Best Interest Standard #60: Compliance with PTE 2020-02

The DOL “Fiduciary Rule,” FAQ 10: The PTE Conditions - This series focuses on the DOL’s new fiduciary “rule”, which was effective on February 16. This, and the next several, articles look at the Frequently Asked Questions...more

Goodwin

SCOTUS Vacates Class Certification In Suit Against Goldman Sachs And Clarifies Appropriate Scope Of Price Impact Evidence

Goodwin on

SCOTUS Vacates Class Certification In Suit Against Goldman Sachs And Clarifies Appropriate Scope Of Price Impact Evidence; Stockholders Strike $110 Million Settlement In Suit Alleging Breaches Of Fiduciary Duties By Former...more

Mayer Brown Free Writings + Perspectives

Global Venture Financing Trends in 2021 Q2

According to CB Insights’ latest State of Venture Report, global startup financing in Q2’21 reached $156.2 billion, a 157% year-over-year increase and a record quarter high. U.S. startup funding accounted for the largest...more

Goodwin

SEC Announces Annual Regulatory Agenda

Goodwin on

In This Issue. Several federal financial regulatory agencies updated their Spring 2021 regulatory agendas; the Consumer Financial Protection Bureau (CFPB) announced its intention to restart Military Lending Act examinations;...more

Ary Rosenbaum

Retirement Plan Advisors Advantage - June 2021

Ary Rosenbaum on

Once Upon A Time In A Dying Organization - Whether it’s a synagogue, a law firm, or a third-party administration (TPA), I’ve been involved in one way or another with dying organizations. That’s probably a good reason why...more

Thomas Fox

The Ethics Movement - Reinventing Compliance Communications with Ronnie Feldman of Learnings & Entertainments

Thomas Fox on

YOU are at the center of The Ethics Movement—the journey to move ethics to the center of business, and build a better world in the process. Join hosts Tom Fox and Philip Winterburn as they unpack the big ideas of ethics and...more

Kramer Levin Naftalis & Frankel LLP

SEC Charges SPAC and Sponsor for Alleged Misrepresentations in Preliminary Proxy Filing Arising From Due Diligence Failures

On July 13, 2021, the Securities and Exchange Commission announced partially settled charges against the Special Purpose Acquisition Company Stable Road Acquisition Co. (SRA), SRA’s sponsor and CEO, SRA’s target Momentus Inc....more

Allen & Overy LLP

Key Regulatory Topics: Weekly Update 9 - 15 July 2021

Allen & Overy LLP on

This week, among other highlights, Committee on Payments and Market Infrastructures, BIS Innovation Hub, International Monetary Fund and the World Bank issued a joint report for the G20 on the use of Central Bank Digital...more

Proskauer - Corporate Defense and Disputes

June 2021 Update of the SEC’s Covered Actions for Potential Whistleblower Claims

On June 30, 2021, the SEC posted six Notices of Covered Actions, for which individuals have 90 calendar days to apply for a whistleblower award.  As discussed in our prior post, the SEC publishes Notices for cases in which...more

McGuireWoods LLP

New Complaint – Ballard v. NTB Financial Corporation

McGuireWoods LLP on

Ballard v. NTB Financial Corporation was filed in the Arapahoe County District Court on July 7, 2021, claiming that Defendants conspired with Financial Visions, Inc. (“FV”) and its principal, Dan Rudden (“Rudden”), to induce...more

Allen & Overy LLP

The Market Abuse Regulation: the First Five Years

Allen & Overy LLP on

July 2021 marks five years since the Market Abuse Regulation (596/2014/EU) (EU MAR) came into force on 3 July 2016. Since then, a myriad of developments has supplemented practitioners’ understanding and interpretation of EU...more

Proskauer - Corporate Defense and Disputes

FINRA Lives Up To Its Name, Announces Regulatory Inquiries into SPACs

While 2021 has been exceptionally lucrative for SPAC sponsors – even more so than 2020’s “Year of the SPAC” – U.S. regulators appear emphatic that 2021 be the year of SPAC supervision.  In April, the SEC released guidance on...more

Troutman Pepper

NJ Regulators Stop Digital Asset Firm BlockFi From Offering Interest-Bearing Cryptocurrency Accounts

Troutman Pepper on

Between July 20-22, 2021, state securities regulators in New Jersey, Texas, and Alabama took aim at BlockFi — a cryptocurrency-based platform that has raised $14.7 billion from investors — related to the company’s...more

Cooley LLP

Blog: BlackRock flexes its muscles during the 2020-21 proxy period

Cooley LLP on

Although BlackRock, which manages assets valued at over $9 trillion, and its CEO, Laurence Fink, have long played an outsized role in promoting corporate sustainability and social responsibility, BlackRock has also long been...more

Thomas Fox

Everything Compliance - Rants and Shout Outs

Thomas Fox on

The Everything Compliance gang is back with fan-fav shout-outs and rants from upcoming Episode 83. Everyone brought their A-Game this week. This week we were thrilled to be joined by guest panelist Karen Woody. -->...more

Kilpatrick Townsend & Stockton LLP

SEC Assesses Nearly $1 Million in Fines for RIAs and BDs’ Failure to Deliver Form CRS

Yesterday, the U.S. Securities and Exchange Commission (“SEC”) announced that it has entered final administrative orders against 21 registered investment advisers (“RIAs”) and six broker-dealers (“BDs”) for failing to file or...more

Thomas Fox

Trekking Through Compliance - Episode 57 - The Enterprise Incident

Thomas Fox on

In this episode of Trekking Through Compliance, we consider the episode The Enterprise Incident, which aired on September 27, 1968, Star Date 5031.3. Compliance Takeaways: 1. The power of NO in compliance. 2....more

Thomas Fox

The Compliance Life - Asha Palmer - Into the Chair and Beyond

Thomas Fox on

In this concluding episode of July on The Compliance Life, Asha Palmer discusses her decision to join Convercent—traditional CECO plus more. She believes that the profession must continue to go toward collaboration,...more

Thomas Fox

The Compliance Kitchen – FDIC and 3rd Party Risk

Thomas Fox on

The FDIC invites comments on proposed guidance to banking institutions on managing 3rd party relationships risks. The Compliance Kitchen explores the timeline, applicability and what to comment on....more

Thomas Fox

The Compliance Handbook - Episode 18 - Using Compliance Data to Facilitate Business Efficiency with Jonathon L. Kellerman

Thomas Fox on

To leave a legacy of operational excellence in compliance is what Global Chief Compliance Officer, Strategic Leader, and Partner at StoneTurn Jonathon Kellerman hope to achieve in this dynamic industry. He has been at the...more

Thomas Fox

Innovation In Compliance - Episode 198 - Hitting The Magic Button with Heather Buker

Thomas Fox on

Tom Fox’s guest this week is Heather Buker. Heather is the Product Manager at Allgress and oversees the entire life cycle of development and QA processes. She has spent her professional life in computer engineering until...more

Thomas Fox

Daily Compliance News - July 27, 2021 - The SFO Still Relevant? Edition

Thomas Fox on

In today’s edition of Daily Compliance News: 1. Q&A with Erin Kelly. (WSJ) 2. Is this SFO still relevant? (Financial News) 3. US blocks Aon-Willis Towers merger. (FT) 4. SEC fighting discrimination. (Houston Chronicle)...more

White & Case LLP

The new EU Green Bond Regulation – Fortune Green or Fortress Green?

White & Case LLP on

The efficiency of the debt capital markets runs on a high degree of homogeneity and standardisation, which enables market participants to make time-sensitive and informed decisions based on a high degree of comparability...more

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JD Supra Privacy Policy

Updated: Apr 27, 2021:

JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.

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Collection of Information

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How We Protect Your Information

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Children's Information

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Links to Other Websites

Our Website and Services may contain links to other websites. The operators of such other websites may collect information about you, including through cookies or other technologies. If you are using our Website or Services and click a link to another site, you will leave our Website and this Policy will not apply to your use of and activity on those other sites. We encourage you to read the legal notices posted on those sites, including their privacy policies. We are not responsible for the data collection and use practices of such other sites. This Policy applies solely to the information collected in connection with your use of our Website and Services and does not apply to any practices conducted offline or in connection with any other websites.

Information for EU and Swiss Residents

JD Supra's principal place of business is in the United States. By subscribing to our website, you expressly consent to your information being processed in the United States.

  • Our Legal Basis for Processing: Generally, we rely on our legitimate interests in order to process your personal information. For example, we rely on this legal ground if we use your personal information to manage your Registration Data and administer our relationship with you; to deliver our Website and Services; understand and improve our Website and Services; report reader analytics to our authors; to personalize your experience on our Website and Services; and where necessary to protect or defend our or another's rights or property, or to detect, prevent, or otherwise address fraud, security, safety or privacy issues. Please see Article 6(1)(f) of the E.U. General Data Protection Regulation ("GDPR") In addition, there may be other situations where other grounds for processing may exist, such as where processing is a result of legal requirements (GDPR Article 6(1)(c)) or for reasons of public interest (GDPR Article 6(1)(e)). Please see the "Your Rights" section of this Privacy Policy immediately below for more information about how you may request that we limit or refrain from processing your personal information.
  • Your Rights
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You can make a request to exercise any of these rights by emailing us at privacy@jdsupra.com or by writing to us at:

Privacy Officer
JD Supra, LLC
10 Liberty Ship Way, Suite 300
Sausalito, California 94965

You can also manage your profile and subscriptions through our Privacy Center under the "My Account" dashboard.

We will make all practical efforts to respect your wishes. There may be times, however, where we are not able to fulfill your request, for example, if applicable law prohibits our compliance. Please note that JD Supra does not use "automatic decision making" or "profiling" as those terms are defined in the GDPR.

  • Timeframe for retaining your personal information: We will retain your personal information in a form that identifies you only for as long as it serves the purpose(s) for which it was initially collected as stated in this Privacy Policy, or subsequently authorized. We may continue processing your personal information for longer periods, but only for the time and to the extent such processing reasonably serves the purposes of archiving in the public interest, journalism, literature and art, scientific or historical research and statistical analysis, and subject to the protection of this Privacy Policy. For example, if you are an author, your personal information may continue to be published in connection with your article indefinitely. When we have no ongoing legitimate business need to process your personal information, we will either delete or anonymize it, or, if this is not possible (for example, because your personal information has been stored in backup archives), then we will securely store your personal information and isolate it from any further processing until deletion is possible.
  • Onward Transfer to Third Parties: As noted in the "How We Share Your Data" Section above, JD Supra may share your information with third parties. When JD Supra discloses your personal information to third parties, we have ensured that such third parties have either certified under the EU-U.S. or Swiss Privacy Shield Framework and will process all personal data received from EU member states/Switzerland in reliance on the applicable Privacy Shield Framework or that they have been subjected to strict contractual provisions in their contract with us to guarantee an adequate level of data protection for your data.

California Privacy Rights

Pursuant to Section 1798.83 of the California Civil Code, our customers who are California residents have the right to request certain information regarding our disclosure of personal information to third parties for their direct marketing purposes.

You can make a request for this information by emailing us at privacy@jdsupra.com or by writing to us at:

Privacy Officer
JD Supra, LLC
10 Liberty Ship Way, Suite 300
Sausalito, California 94965

Some browsers have incorporated a Do Not Track (DNT) feature. These features, when turned on, send a signal that you prefer that the website you are visiting not collect and use data regarding your online searching and browsing activities. As there is not yet a common understanding on how to interpret the DNT signal, we currently do not respond to DNT signals on our site.

Access/Correct/Update/Delete Personal Information

For non-EU/Swiss residents, if you would like to know what personal information we have about you, you can send an e-mail to privacy@jdsupra.com. We will be in contact with you (by mail or otherwise) to verify your identity and provide you the information you request. We will respond within 30 days to your request for access to your personal information. In some cases, we may not be able to remove your personal information, in which case we will let you know if we are unable to do so and why. If you would like to correct or update your personal information, you can manage your profile and subscriptions through our Privacy Center under the "My Account" dashboard. If you would like to delete your account or remove your information from our Website and Services, send an e-mail to privacy@jdsupra.com.

Changes in Our Privacy Policy

We reserve the right to change this Privacy Policy at any time. Please refer to the date at the top of this page to determine when this Policy was last revised. Any changes to our Privacy Policy will become effective upon posting of the revised policy on the Website. By continuing to use our Website and Services following such changes, you will be deemed to have agreed to such changes.

Contacting JD Supra

If you have any questions about this Privacy Policy, the practices of this site, your dealings with our Website or Services, or if you would like to change any of the information you have provided to us, please contact us at: privacy@jdsupra.com.

JD Supra Cookie Guide

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How We Use Cookies and Other Tracking Technologies

We use cookies and other tracking technologies to:

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There are different types of cookies and other technologies used our Website, notably:

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JD Supra Cookies. We place our own cookies on your computer to track certain information about you while you are using our Website and Services. For example, we place a session cookie on your computer each time you visit our Website. We use these cookies to allow you to log-in to your subscriber account. In addition, through these cookies we are able to collect information about how you use the Website, including what browser you may be using, your IP address, and the URL address you came from upon visiting our Website and the URL you next visit (even if those URLs are not on our Website). We also utilize email web beacons to monitor whether our emails are being delivered and read. We also use these tools to help deliver reader analytics to our authors to give them insight into their readership and help them to improve their content, so that it is most useful for our users.

Analytics/Performance Cookies. JD Supra also uses the following analytic tools to help us analyze the performance of our Website and Services as well as how visitors use our Website and Services:

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Facebook, Twitter and other Social Network Cookies. Our content pages allow you to share content appearing on our Website and Services to your social media accounts through the "Like," "Tweet," or similar buttons displayed on such pages. To accomplish this Service, we embed code that such third party social networks provide and that we do not control. These buttons know that you are logged in to your social network account and therefore such social networks could also know that you are viewing the JD Supra Website.

Controlling and Deleting Cookies

If you would like to change how a browser uses cookies, including blocking or deleting cookies from the JD Supra Website and Services you can do so by changing the settings in your web browser. To control cookies, most browsers allow you to either accept or reject all cookies, only accept certain types of cookies, or prompt you every time a site wishes to save a cookie. It's also easy to delete cookies that are already saved on your device by a browser.

The processes for controlling and deleting cookies vary depending on which browser you use. To find out how to do so with a particular browser, you can use your browser's "Help" function or alternatively, you can visit http://www.aboutcookies.org which explains, step-by-step, how to control and delete cookies in most browsers.

Updates to This Policy

We may update this cookie policy and our Privacy Policy from time-to-time, particularly as technology changes. You can always check this page for the latest version. We may also notify you of changes to our privacy policy by email.

Contacting JD Supra

If you have any questions about how we use cookies and other tracking technologies, please contact us at: privacy@jdsupra.com.

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