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Ary Rosenbaum

Johnson & Johnson wins 401(k) lawsuit

Ary Rosenbaum on

A New Jersey Federal District Court dismissed a complaint by participants in 3 Johnson & 401(k) plans, who alleged that plan fiduciaries failed to protect their investments in company stock offered as a plan investment...more

Fenwick & West LLP

Silicon Valley Venture Capital Survey – First Quarter 2021

Fenwick & West LLP on

Our latest survey, analyzing the terms of 259 venture financings closed in the first quarter of 2021 by companies headquartered in Silicon Valley, shows valuation results continued their momentum from the fourth quarter of...more

Goodwin

Fed Invites Public Comment on Proposed Changes to Durbin Amendment

Goodwin on

In this Issue. The Board of Governors of the Federal Reserve System (Federal Reserve) invited public comment on proposed changes to Regulation II, better known as the Durbin Amendment, regarding network availability for...more

Lowenstein Sandler LLP

Competitor Recovers Damages From FCPA Violator In Post-Enforcement Civil Litigation

Lowenstein Sandler LLP on

On Wednesday, May 12, 2021, Swedish telecommunications manufacturer Ericsson announced that it had reached an €80 million ($96.66 million) settlement with one of its competitors to compensate for commercial damages the...more

Cooley LLP

Blog: Acting Corp Fin Director Coates says ESG disclosure requirements “overdue”

Cooley LLP on

As reported by Bloomberg, Acting Corp Fin Director John Coates told a webinar audience that mandatory ESG disclosures were “overdue,” and that the SEC was moving quickly on related rulemaking. In the webinar, sponsored by...more

Thomas Fox

Fraud Eats Strategy - First 30 Episodes Recap - Part 1

Thomas Fox on

When we first launched the “Fraud Eats Strategy” podcast series, we promised to explore organized crime, boiler rooms, money launderers, war lords, kleptocrats and fallen CEOs, and the companies that have been damaged or...more

Stinson - Corporate & Securities Law Blog

PCAOB Proposes Rule to Create Framework for HFCAA Determinations

The Public Company Accounting Oversight Board has proposed a new rule provide a framework for its determinations under the Holding Foreign Companies Accountable Act, or the HFCAA....more

McDermott Will & Emery

What a Capital Gains Rate Hike Could Mean

McDermott Will & Emery on

Although it is unclear what will happen to capital gains rates over the course of the next year, it is important to discuss the implications of what a rate hike could mean. While we don’t know for certain whether the capital...more

Proskauer - Whistleblowing & Retaliation

SEC Awards $22 Million to Two Whistleblowers

On May 10, 2021, the SEC’s Office of the Whistleblower announced multi-million dollar awards to two whistleblowers who provided the SEC with information that assisted the agency in bringing a successful enforcement action...more

Carlton Fields

Let a Thousand Flowers Bloom: Advisory Voices Proliferate at SEC

Carlton Fields on

The hot topic of environmental, social, and governance (ESG) disclosure has called attention to a growing number of voices advising the SEC commissioners....more

International Lawyers Network

Establishing A Business Entity In England (Updated)

The attractiveness of the United Kingdom as a business location is unabated. There are many advantages to doing business in the UK. Investors can draw on a skilled workforce and access a large market; costs of labour and...more

Proskauer - The Capital Commitment

Focus on ESG Will Continue to Grow Under Biden Administration

In 2021, the global impact of environmental, social and corporate governance (“ESG”) investing will continue to grow, with key implications for the asset management industry. The new European regime on sustainability-related...more

Carlton Fields

Record-Breaking SEC Whistleblower Awards Signal the Need for Robust Anti-Retaliation Policies

Carlton Fields on

Introduction - Last year saw a significant increase in whistleblower reports to the Securities and Exchange Commission (SEC). The SEC reportedly received 35% more tips, complaints, and referrals for investigation between...more

Thomas Fox

Compliance into the Weeds-Elon Musk, Cryptocurrency and the SEC

Thomas Fox on

Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. This week Matt and Tom take a deep dive into the...more

Thomas Fox

Daily Compliance News: May 13, 2021 the Too Big to Award edition

Thomas Fox on

In today’s edition of Daily Compliance News: 1. Size of potential whistleblower award threatens CFTC Whistleblower program. (NYT) 2. Key suspect in Vatican corruption case detained. (National Catholic Reporter) 3....more

Allen & Overy LLP

A new era of Securities Law has begun: Electronic Securities Act (eWpG) comes into force

Allen & Overy LLP on

On 6 May 2021, the German Bundestag adopted the Electronic Securities Act (eWpG) in the form proposed by the Finance Committee. Please see full Publication below for more information. ...more

Allen & Overy LLP

Hong Kong’s Securities and Futures Commission (SFC) Enforcement Actions Trends and Tracker (UPDATED)

Allen & Overy LLP on

The SFC's latest annual and quarterly reports highlight the SFC's regulatory work since April 2019 and illustrate some key trends in its enforcement agenda. These reports show that the SFC continues to focus its enforcement...more

Lowenstein Sandler LLP

Let the Game(Stop) Begin—Unless You Are A Retail Investor

Lowenstein Sandler LLP on

Gone are the days when you had to walk into a physical branch to open a brokerage account. Each trade used to cost money, and account minimums were high. Not anymore. Now any American with internet access and a bank account...more

Jackson Lewis P.C.

FINRA Announces Resumption Of In-Person Arbitration Hearings

Jackson Lewis P.C. on

The Financial Industry Regulatory Authority (FINRA) Dispute Resolution Services has announced it will reopen the majority of its 69 hearing locations across the United States and Puerto Rico for in-person arbitration and...more

Stinson - Corporate & Securities Law Blog

Votes Compelled by Stockholders Agreement Do Not Count Towards Corwin Cleansing

In connection with an M&A transaction, in In Re Pattern Energy Group Inc. Stockholders Litigation the Delaware Court of Chancery determined that that the plaintiff had stated a claim against the director defendants for breach...more

Ary Rosenbaum

Retirement Plan Advisors Advantage - April 2021

Ary Rosenbaum on

How You Can Stay Out Of Trouble As A Retirement Plan Provider. There is a running joke I’ve had for the past 25 years where someone tells me or I tell them to stay out of trouble. When someone tells me to stay out of...more

Nelson Mullins Riley & Scarborough LLP

Sustainable Holdings Urges SEC to Provide Guidance on the Regulation of NFTs

A recent article by The New York Times - Manic Markets, Imploding Funds: Wall Street’s New Top Cop Has a Full Plate - discussed the potential areas of focus for Gary Gensler, the new Chairman of the U.S. Securities and...more

Proskauer - Corporate Defense and Disputes

First Circuit Adopts Prevailing Standard for Applicability of Federal Securities Laws to Foreign Investors, But Rejects Second...

The U.S. Court of Appeals for the First Circuit held yesterday that the U.S. securities laws apply to foreign brokers’ solicitations of securities purchases by foreign investors if the purchasers or sellers incurred...more

Arent Fox

The New Players in the Sports Industry: NFTs, Fan Tokens, and Blockchain

Arent Fox on

The adoption of blockchain can be seen across many industries, but perhaps nowhere is it happening faster than in the sports sector. While many factors have led to the rise of blockchain, the advent of non-fungible tokens...more

Farella Braun + Martel LLP

Turmoil in the SPAC Market: What Private Tech Companies Should Consider Before Going Public Via a SPAC

In the spring of 2021, one of the hottest markets—the market for special purpose acquisition companies, or SPACs—has “screeched to a halt,” according to CNN. As the SPAC market grew red hot in the past six months, it seemed...more

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JD Supra Privacy Policy

Updated: Apr 27, 2021:

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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.

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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.

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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

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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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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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Controlling and Deleting Cookies

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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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