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Securities Law Blog

Securities Law Blog

Features news, commentary and thoughts on the law of the securities markets. By Mark Astarita.

http://seclaw.blogspot.com/
  • Jan 31

    SEC News - Broker Fraud, FCPA and Penny Stock Charge

    SEC News - Broker Fraud, FCPA and Penny Stock Charge
    Investment Adviser and Manager Charged in South Florida-Based FraudA Fort Lauderdale, Florida-based investment advisory firm, its manager, and three related funds are now facing fraud charges and an asset freeze for a scheme that…
  • Jan 29

    S.E.C. Faces Challenges Over the Constitutionality of Some of Its Court Proceeding

    S.E.C. Faces Challenges Over the Constitutionality of Some of Its Court Proceeding
    Great analysis of the issues raised by the SEC's use of administrative proceedings to avoid juries, evidentiary rules, discovery by defendants and other procedural safeguards afforded to defendants in government prosecutions.We have written…
  • Jan 26

    10 ETFs To Be Excited About In 2015

    10 ETFs To Be Excited About In 2015
    Investors were introduced to more than 180 new exchange-traded products in 2014, as well as a handful of ETF issuer newcomers.While the majority of new offerings offer more traditional investment objectives, there are a passel of funds that…
Rank this Week: 1587

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Jan 30

    MSRB Again Calls for Better Debt Disclosure by Bond Issuer

    MSRB Again Calls for Better Debt Disclosure by Bond Issuer
    [This story previously appeared in Securities Regulation Daily.]By John Filar AtwoodThe Municipal Securities Rulemaking Board (MSRB) has issued another call to municipal bond issuers to make more information about their bank loans and other…
  • Jan 29

    Savings Statute Cannot Rescue Claim of Improper Demand Refusal

    Savings Statute Cannot Rescue Claim of Improper Demand Refusal
    [This story previously appeared in Securities Regulation Daily.]By Amy Leisinger, J.D.The Delaware District Court has dismissed an action against certain investment advisers, funds, and a number of directors alleging, among other things,…
  • Jan 28

    Government Asks Full Court to Rehear Newman Insider Trading Appeal

    Government Asks Full Court to Rehear Newman Insider Trading Appeal
    [This story previously appeared in Securities Regulation Daily.]By Anne Sherry, J.D.Criticizing last month’s opinion by a Second Circuit panel overturning two insider trading convictions based on a lack of personal benefit to the…
Rank this Week: 199

InfoBytes Blog

InfoBytes Blog

Monitors and reports on news, legal developments and legislative actions affecting the financial services industry. By Buckley Sandler LLP.

http://www.infobytesblog.com/
  • Jan 30

    CFPB Proposes Changes to Mortgage Rules for Small Lender

    CFPB Proposes Changes to Mortgage Rules for Small Lender
    On January 29, the CFPB announced a proposed rule that would provide regulatory relief to more small lenders. Among other things, the proposed rule would (i) increase the loan origination limit to qualify for “small creditor”…
  • Jan 30

    CFPB: Supervisory Obligations Trump Nondisclosure Agreement

    CFPB: Supervisory Obligations Trump Nondisclosure Agreement
    As previously reported in our Special Alert on January 29, the CFPB issued Compliance Bulletin 2015-01, which reminds supervised financial institutions of their obligations concerning the disclosure of confidential supervisory information to…
  • Jan 30

    CFPB Partners with Industry Group to Improve Financial Education

    CFPB Partners with Industry Group to Improve Financial Education
    On January 28, the Financial Services Roundtable (FSR) announced a joint initiative with the CFPB to promote effective financial education throughout the country.  The public-private partnership will provide tools and information to…
Rank this Week: 1711

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Jan 30

    Compare and Contrast

    Compare and Contrast
    NERA Economic Consulting and Cornerstone Research (in conjunction with the Stanford Securities Class Action Clearinghouse) have released their 2014 annual reports on securities class action filings.  As usual, the different methodologies…
  • Jan 24

    Domestic Statu

    Domestic Statu
    Under the Morrison test for extraterritoriality, a Section 10(b) claim for securities fraud may only be brought if the transaction involved “the purchase or sale of a security listed on an American stock exchange” or “the…
  • Jan 15

    That Escalated Quickly

    That Escalated Quickly
    Item 303 of Regulation S-K requires issuers to disclose known trends or uncertainties “reasonably likely” to have a material effect on operations, capital, and liquidity. Plaintiffs often contend that if the disclosure required…
Rank this Week: 2512

The Reverse Merger & SPAC Blog

The Reverse Merger & SPAC Blog

Covers reverse mergers, special purpose acquisition companies (SPACs), and other alternatives to initial public offerings (IPOs). By David Feldman.

http://www.reversemergerblog.com/
  • Jan 30

    We Don’t Like Ignorant Client

    We Don’t Like Ignorant Client
    This may sound pompous, but let me explain. We love all clients. We also like educating clients as to the benefits of what we do. But, after we do, we want our clients to be experts. Nothing is worse than someone who does something…
  • Jan 29

    “Bubble Gum & Duct Tape” — A Lesson in Entrepreneurial Bootstrapping

    “Bubble Gum & Duct Tape” — A Lesson in Entrepreneurial Bootstrapping
    A conversation I had with a potential client this last week went something like this: Me: “Tell me about your financing to date” Client: “We’ve had no outside financing other than from the founders’ savings. In…
  • Jan 28

    Using Public Stock as Collateral for a Personal Loan

    Using Public Stock as Collateral for a Personal Loan
    Because liquid, public stock is an acceptable form of collateral, it can easily be used for both business and personal loan guarantees against the unlikely event of default. A founding shareholder of a public company may wish to secure a…
Rank this Week: 1465

Mortgage Fraud Blog

Mortgage Fraud Blog

Covers mortgage fraud information, fraud schemes and indictments. By Rachel Dollar.

http://mortgagefraudblog.com/
  • Jan 30

    5 More Sentenced in Operation Wax House

    5 More Sentenced in Operation Wax House
    Mortgage Fraud Blog. Five defendants were sentenced in January 2015, for their roles in a mortgage fraud scheme involving straw buyers, kickbacks and bank bribery. Of the 91 individuals charged in Operation Wax House, eighty-nine defendants…
  • Jan 30

    Man Charged with Obtaining Nearly $1M in Fraudulent Loan

    Man Charged with Obtaining Nearly $1M in Fraudulent Loan
    Mortgage Fraud Blog. Joe Spaqi, 60, Cleveland, Ohio, has been indicted and charged with fraudulently obtaining nearly $1 million from the now-closed St. Paul Croatian Federal Credit Union. The defendant was indicted on four counts of…
  • Jan 29

    Former Title Company Manager Jailed for Mortgage Fraud

    Former Title Company Manager Jailed for Mortgage Fraud
    Mortgage Fraud Blog. Terri Lynn Johnson, 50, Columbia, Missouri, former branch manager of Landchoice Company, LLC, has been sentenced in federal court for a $576,000 mortgage fraud and embezzlement scheme. The defendant was sentenced by U.S.…
Rank this Week: 3

That Credit Union Blog

That Credit Union Blog

Covers current issues affecting the credit union industry. By the law firm of Weltman, Weinberg & Reis.

http://thatcreditunionblog.wordpress.com
  • Jan 30

    Powers of Attorney-Built to Last

    Powers of Attorney-Built to Last
    By Matthew M. Young, Attorney Any credit union accepting powers of attorney (POA) should know that a POA ceases upon the death of the principal.  A lesser known fact relates to durable powers of attorney; the durable POA survives…
  • Oct 31

    Going Paperless and Complying with the E-Sign Act

    Going Paperless and Complying with the E-Sign Act
    By Matthew Young, Attorney As more and more credit union members move to online banking, credit unions are similarly encouraging members to accept electronic statements in lieu of paper statements as part of their online banking service. The…
  • Oct 31

    Going Paperless and Complying with the E-Sign Act

    Going Paperless and Complying with the E-Sign Act
    By Matthew Young, Attorney As more and more credit union members move to online banking, credit unions are similarly encouraging members to accept electronic statements in lieu of paper statements as part of their online banking service. The…
Rank this Week: 3044

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Jan 30

    House Bill: Repeal of Pay Ratio

    House Bill: Repeal of Pay Ratio
    Last week, the “Burdensome Data Collection Relief Act” (HR 414) was introduced to repeal Dodd Frank’s Section 953(b), the pay ratio disclosure requirement. The bill is real simple – a single paragraph. This same bill…
  • Jan 29

    Proxy Access Punt: Glass Lewis Weighs In “For Real”

    Proxy Access Punt: Glass Lewis Weighs In “For Real”
    On Monday, I blogged about a statement from Glass Lewis on proxy access shareholder proposals that was contained in a WSJ article. Now, Glass Lewis has posted this on its own blog on the topic: In 2015, approximately 100 companies will face…
  • Jan 28

    Our New “Form 8-K Handbook”

    Our New “Form 8-K Handbook”
    Spanking brand new. By popular demand, this comprehensive “Form 8-K Handbook” covers all you need to know about “real time” disclosures via Form 8-K (it’s now posted on our “Form 8-K” Practice Area).…
Rank this Week: 284

Blog y Lana finanzas personales…

Blog y Lana finanzas personales que se entienden

Porque de nada sirve ganar mucho dinero si no sabemos mantenerlo en nuestra bolsa. Finanzas personales que se entienden.

http://www.blogylana.com/
  • Jan 30

    ¿Por qué seguimos diciendo que no hay dinero? Podcast 158

    ¿Por qué seguimos diciendo que no hay dinero? Podcast 158
    Esta es una frase muy típica de fin de año. Ahora que pasaron las fiestas volvía escucharla con frecuencia: “es que no hay dinero”, “es que la gente no tiene dinero”. Si bien es cierto que este…
  • Jan 26

    20 Reglas que todo FREELANCE debe seguir [para tener éxito]

    20 Reglas que todo FREELANCE debe seguir [para tener éxito]
    1. Crea y construye tu negocio sobre un mercado verdadero. Nada de deseos y fantasías de lo que tu mercado ‘debería’ ser. 2. Mantente al día. Aunque seas exitoso ¡no te duermas en tus laureles! la…
  • Jan 21

    Qué hacer si te dan un billete falso

    Qué hacer si te dan un billete falso
    Alguna vez nos ha pasado, recibimos un billete falso del cajero automático o del cajero de carne y hueso y nos dimos cuenta tarde para reclamar en su cara o en ese instante. ¿Qué hacer? ¿Qué procede?…
Rank this Week: 782

Mortgage Crisis Watch

Mortgage Crisis Watch

Covers business and legal issues affecting loan repurchases, mortgage-backed securities and mortgage insurance. By Bilzin Sumberg.

http://www.mortgagecrisiswatch.com/
  • Jan 29

    Newly Passed Bill May Impact Dodd-Frank Act

    Newly Passed Bill May Impact Dodd-Frank Act
    The House of Representatives passed legislation that could loosen some of the restrictions imposed by Dodd-Frank on big banks. The bill, Promoting Job Creation and Reducing Small Businesses Burden Act, passed by a margin of 271-154, and…
  • Jan 23

    Supreme Court Eases Requirements for Homeowners Rescinding Mortgage

    Supreme Court Eases Requirements for Homeowners Rescinding Mortgage
    The U.S. Supreme Court recently held in Jesinoski v. Countrywide Home Loans, Inc. that borrowers exercising their right to rescind mortgages under the Truth in Lending Act (“TILA”) only need to provide written notice to creditors…
  • Jan 15

    Fighting Back Against CFPB Demand

    Fighting Back Against CFPB Demand
    An increasing number of banks, mortgage lenders, auto finance companies and other financial services industry participants are dealing with inquiries, investigations and actual or threatened legal claims from the Consumer Financial Protection…
Rank this Week: 3858

Financial Industry Review

Financial Industry Review

Covers asset management, litigation, and rating agencies. By Orrick, Herrington & Sutcliffe LLP.

http://blogs.orrick.com/financial/
  • Jan 29

    Rating Agency Development

    Rating Agency Development
    On January 23, 2015 DBRS released its methodology relating to Structured Finance Flow-Through Ratings.  Report.
  • Jan 29

    FHFA Director testifies in front of the U.S. House of Representative Committee on Financial Service

    FHFA Director testifies in front of the U.S. House of Representative Committee on Financial Service
    On January 27, 2015 the  FHFA Director, Melvin L. Watt, testified in front of the U.S. House of Representatives Committee on Financial Services.  Director Watt’s testimony provided, amongst other items, an update on the…
  • Jan 29

    Federal Reserve Issues “Strategies for Improving the U.S. Payment System”

    Federal Reserve Issues “Strategies for Improving the U.S. Payment System”
    On January 26, 2015 the Federal Reserve issued a multi-faceted plan for collaborating with payment system stakeholders, including large and small businesses, emerging payments firms, card networks, payment processors, consumers and financial…
Rank this Week: 3604

Florida Banking Law Blog

Florida Banking Law Blog

Covers legal developments impacting banking, finance and loan enforcement in Florida. By Rogers Towers, PA.

http://www.floridabankinglawblog.com/
  • Jan 29

    Commission Calls for Overhaul of Chapter 11 Bankruptcy Code

    Commission Calls for Overhaul of Chapter 11 Bankruptcy Code
    Authored by J. Ellsworth Summers, Jr. and Scott St. Amand and J. Ellsworth Summers, Jr. and Scott St. Amand of Rogers TowersOn Monday, December 8, 2014, the American Bankruptcy Institute’s Chapter 11 Reform Commission, which is tasked…
  • Jan 27

    Marriage Equality and The Equal Credit Opportunity Act

    Marriage Equality and The Equal Credit Opportunity Act
    Authored by Samantha Alves Orender of Rogers TowersOn January 1, 2015, United States District Judge Hinkle issued an Order  ruling that all Florida counties are to start issuing marriage licenses to same-sex couples as of January 6,…
  • Jan 22

    Chapter 13 Debtors Choosing to Retain Residential Property and Not Claim Homestead Are Not Entitled to Wildcard Exemption

    Chapter 13 Debtors Choosing to Retain Residential Property and Not Claim Homestead Are Not Entitled to Wildcard Exemption
    Authored by Michael S. Waskiewicz and Armando Nozzolillo and Michael S. Waskiewicz and Armando Nozzolillo of Rogers TowersIn Florida, it is well settled that a Chapter 7 debtor who does not claim or receive the benefit of the homestead…
Rank this Week: 3720

North Carolina Business Litigation…

North Carolina Business Litigation Report

Reports on judicial decisions of significance to business and shareholders. By Mack Sperling of Brooks Pierce LLP.

http://www.ncbusinesslitigationreport.com/
  • Jan 29

    Is It Worth It For Plaintiffs' Counsel To Gamble On Merger Class Actions in North Carolina?

    Is It Worth It For Plaintiffs' Counsel To Gamble On Merger Class Actions in North Carolina?
    I hadn't written anything yet about the multiple shareholder actions challenging the merger of PokerTek -- a developer and distributor of electronic table (gambling) games -- with Multimedia Games -- another developer and distributor of…
  • Jan 23

    A Couple Of Things To Know Before Bringing A Piercing The Corporate Veil Claim

    A Couple Of Things To Know Before Bringing A Piercing The Corporate Veil Claim
    You might remember the case of  Cold Springs Ventures, LLC v. Gilead Sciences, Inc..  Last year, Judge Jolly stayed an arbitration proceeding pending a ruling on a piercing the corporate veil claim.  If you are a reader of this…
  • Jan 16

    Reading Before Signing Is Advisable

    Reading Before Signing Is Advisable
    It's pretty basic that your clients should read the agreements that they sign before they sign them.  Or you should at least explain to your client the key provisions in what they are going to sign, if they are not going to read it. In…
Rank this Week: 880

AG Deal Diary

AG Deal Diary

A collection of insights and analysis on hot topics impacting companies, funds, dealmakers and directors. By Akin Gump.

http://www.akingump.com/en/experience/practices/corporate/ag-deal-diary/index.html
Rank this Week: 1853

Bank Lawyer's Blog

Bank Lawyer's Blog

Covers accounting/auditing, commercial lending, credit unions, electronic banking, privacy, RESPA and stocks. By Kevin Funnell.

http://www.banklawyersblog.com/3_bank_lawyers/
  • Jan 28

    Disparate Impact: Liz Goes Loony

    Disparate Impact: Liz Goes Loony
    In full-spittle mode, Lizzie Warren let the hysterics and flop-sweat fly last week in an Op-Ed piece for the Wapo, in which she warned that if the SCOTUS strikes down "disparate impact" in the context of fair lending laws, the...
  • Jan 25

    CFPB's Mini-Me

    CFPB's Mini-Me
    Melanie Brody and Anjali Garg of K&L Gates warned us last week about a new trend in perils for those who wish to provide financial services to consumers. At the end of 2014, the New York Department of Financial Services...
  • Jan 19

    Pat's Prognastication

    Pat's Prognastication
    Former community banker and occasional contributor to this blog, Pat Dalrymple, has a column in a local Colorado newspaper that contains his banking business predictions for 2015. Pat invites readers to call him out at year end if any of...
Rank this Week: 255

The Venture Alley

The Venture Alley

Covers business and legal issues for entrepreneurs, startups, venture capitalists and angel investors. By DLA Piper.

http://www.theventurealley.com
  • Jan 28

    What Exactly Do You Mean By “Reseller” Agreement?

    What Exactly Do You Mean By “Reseller” Agreement?
    A useful note from our colleague Sanjay Beri, originally posted at Technology’s Legal Edge. I was recently reminded that the term “reseller” agreement can often mean different things to different people. …
  • Jan 20

    FTC ANNOUNCES ANNUAL REVISIONS TO HSR ACT THRESHOLDS

    FTC ANNOUNCES ANNUAL REVISIONS TO HSR ACT THRESHOLDS
    CONTRIBUTED BY Megan Muir megan.muir@dlapiper.com From our colleagues Paolo Morante, Steven E. Levitsky, and Laura Kam In accordance with the 2000 amendments to the HSR Act, the Federal Trade Commission has announced its annual revision to…
  • Jan 20

    New student data privacy laws: top points for school contractors and K-12 education sites, apps and online service

    New student data privacy laws: top points for school contractors and K-12 education sites, apps and online service
    CONTRIBUTED BY Megan Muir megan.muir@dlapiper.com From our colleagues, Michelle J. Anderson and Jim Halpert, originally published as a Data Protection, Privacy and Security Alert (US) According to the Data Quality Campaign, 36…
Rank this Week: 3885

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Jan 27

    SEC Charges Wisconsin Man With $10.4 Million Ponzi Scheme

    SEC Charges Wisconsin Man With $10.4 Million Ponzi Scheme
    A Wisconsin man was charged by the Securities and Exchange Commission with operating a Ponzi scheme that took in more than $10 million from at least 122 investors.  Loren Holzhueter, 69, was the subject of an emergency enforcement action…
  • Jan 26

    Ohio CPA Gets 21 Years For Role In $40 Million Ponzi Scheme

    Ohio CPA Gets 21 Years For Role In $40 Million Ponzi Scheme
    An Ohio man was sentenced to serve twenty-one years in federal prison for his role in funnelling investors to the massive "Black Diamond" Ponzi scheme that ultimately duped over 400 investors out of at least $40 million.  Jonathan…
  • Jan 26

    California Men Plead Guilty To $100 Million ATM Ponzi Scheme

    California Men Plead Guilty To $100 Million ATM Ponzi Scheme
    Two California men have entered guilty pleas to operating a massive Ponzi scheme that allegedly caused losses of over $100 million to victims who thought they were investing in a profitable ATM leasing operation.  Joel Barry Gillis, 74,…
Rank this Week: 917

Pension Risk Matters

Pension Risk Matters

Focuses on pension financial risk issues from a governance and fiduciary perspective. Published by Susan M. Mangiero.

http://www.pensionriskmatters.com/
  • Jan 27

    Report Card For Teacher Pension Plan

    Report Card For Teacher Pension Plan
    According to "Doing the Math on Teacher Pensions: How to Protect Teachers and Taxpayers," just published by the National Council on Teacher Quality, "state teacher pension systems had a total of $499 billion in unfunded liabilities"…
  • Jan 10

    Retirement Planning Involves Many Factor

    Retirement Planning Involves Many Factor
    Whenever I teach an investments course, I ask the students if their vision for retirement involves penny pinching or taking luxury cruises. Once the silly ideas are tossed away ("I want to be a millionaire by twenty-five but don't plan to…
  • Jan 10

    Dr. Susan Mangiero Invited to Speak About ESOP Governance

    Dr. Susan Mangiero Invited to Speak About ESOP Governance
    Dr. Susan Mangiero is delighted to announce that she has accepted an invitation from The National Center for Employee Ownership ("NCEO") to speak at its upcoming annual conference in Denver. She will be joined at the podium by employee…
Rank this Week: 3351

RIA Compliance Blog

RIA Compliance Blog

Covers registered investment advisor regulations. By Parker MacIntyre.

http://www.riacomplianceblog.com/
  • Jan 26

    Non-Registered Crowdfunding Site Reaches Settlement with SEC

    Non-Registered Crowdfunding Site Reaches Settlement with SEC
    In a settlement that underscores the SEC's increased scrutiny of crowdfunding sites and whether they are acting as broker-dealers, the SEC agreed to a settlement with Eureeca Capital SPC ("Eureeca"), on November 10, 2014, over charges…
  • Jan 26

    NASAA Unveils Electronic Filing Depository

    NASAA Unveils Electronic Filing Depository
    On December 15, 2014, the North American Securities Administrators Association ("NASAA") launched an online electronic filing system to be used for issuers filling Form D, Rule 506 offerings with state securities regulators. The purposes of…
  • Jan 21

    Private Placement Brokers Should Be Legalized Along with M&A Broker

    Private Placement Brokers Should Be Legalized Along with M&A Broker
    In 1999, an American Bar Association task force published an exhaustively researched report that highlighted a huge "gray market" of unregistered brokerage activity, conducted by people that sometimes refer to themselves as "finders," that is…
Rank this Week: 1541

Broke and Broker

Broke and Broker

Covers the Wall Street docket of criminal, civil, regulatory, and arbitration cases. By Bill Singer.

http://brokeandbroker.com/index.php
  • Jan 23

    Elderly Sugar Daddy, His Young Thing, And His Banker / Broker

    Elderly Sugar Daddy, His Young Thing, And His Banker / Broker
    Good intentions seem to have exploded in a banker / broker's  face, when he came to the aid of an elderly customer, who fell under the sway of a younger woman with a criminal record. When the do-gooder stepped in to protect the customer,…
  • Jan 23

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

    BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    Elderly Sugar Daddy, His Young Thing, And His Banker / BrokerGood intentions seem to have exploded in a banker / broker's  face, when he came to the aid of an elderly customer, who fell under the sway of a younger woman with a criminal…
  • Jan 23

    Unreasonable AML Policies Cited In Trading Platform Fraud

    Unreasonable AML Policies Cited In Trading Platform Fraud
    There are lots of bad guys out there, and on Wall Street, brokerage firms need to protect not only their customers but also themselves from some of the online scams and cons.  In a recent regulatory settlement, we see how one firm was…
Rank this Week: 465

The Swap Report

The Swap Report

Covers regulatory and transactional issues related to derivatives. By Reed Smith LLP.

http://www.theswapreport.com/
  • Jan 22

    CFTC Issues Enforcement Order Regarding "Risk Management" Services and CTA Registration

    CFTC Issues Enforcement Order Regarding "Risk Management" Services and CTA Registration
    On, January 16, the CFTC ordered Summit Energy Services, Inc. ("Summit Energy") to pay a $140,000 civil penalty to resolve allegations that it violated the Commodity Exchange Act ("CEA") by failing to register as a commodity trading adviser…
  • Jan 15

    2015 CFTC Regulatory Agenda

    2015 CFTC Regulatory Agenda
    By Tom Watterson and Patricia Dondanville As 2015 is now underway, we wanted to highlight some of the potential regulatory developments from the CFTC that may arise in the new year. Overall we expect 2015 to be a year of continued CFTC…
  • Nov 19

    Comparing Collateral Segregation Regimes for Uncleared Swap Margin

    Comparing Collateral Segregation Regimes for Uncleared Swap Margin
    The proposed margin rules from the CFTC and the prudential regulators, when considered alongside the existing CFTC collateral segregation rules, present the potential for three different collateral segregation regimes applying to initial…
Rank this Week: 4049

Private Funds Law Update

Private Funds Law Update

Covers private funds and alternative investments. By Reed Smith LLP.

http://www.privatefundslaw.com/
  • Jan 22

    SEC Announces 2015 Exam Prioritie

    SEC Announces 2015 Exam Prioritie
    The SEC Office of Compliance Inspections and Examinations (“OCIE” or the “Staff”) recently released its 2015 Exam Priorities. OCIE examines all types of SEC registrants, including investment advisers, broker-dealers,…
  • Dec 4

    AIFMD Round 2: Call for Evidence on AIFMD Passport and Non-EU AIFM

    AIFMD Round 2: Call for Evidence on AIFMD Passport and Non-EU AIFM
    This post was written by Vicky Thatcher. Pursuant to Article 67 of the Directive 2011/61/EU on Alternative Investment Fund Managers (“AIFMD”), the European Securities and Markets Authority (“ESMA”) has until 22nd July…
  • Nov 10

    AIFMD Reporting by non-EEA AIFM

    AIFMD Reporting by non-EEA AIFM
    This post was authored by Winston Penhall, Editor of this blog and partner in the Investment Funds practice of Reed Smith LLP, London and Paul Moran, Reed Smith trainee, London.  Application The Alternative Investment Fund Managers…
Rank this Week: 4030

Canadian M&A Perspectives

Canadian M&A Perspectives

Covers developments in private and public mergers and acquisitions, and private equity. By McCarthy Tetrault.

http://www.canadianmergersacquisitions.com
  • Jan 22

    5 Corporate Governance Tips to Reduce Risk in the M&A Proce

    5 Corporate Governance Tips to Reduce Risk in the M&A Proce
    By Nathan Montgomery Because of the growing risk of litigation by unhappy (or simply opportunistic) shareholders following the sale or acquisition of a company, corporate governance practices during the M&A process face increasing…
  • Jan 6

    New 2015 Investment Canada Act WTO Review Threshold

    New 2015 Investment Canada Act WTO Review Threshold
    By Oliver J. Borgers, Ian C. Michael and Leslie Milroy Industry Canada has announced that the 2015 Investment Canada Act (“Act”) threshold that applies to most direct acquisitions of Canadian businesses by non-Canadians will be…
  • Dec 4

    The 2015 Proxy Season: Glass Lewis and ISS Canadian Proxy Voting Guidelines Update

    The 2015 Proxy Season: Glass Lewis and ISS Canadian Proxy Voting Guidelines Update
    By Rene Sorell, Jonathan Grant, Ian C. Michael, Matthew Cumming and Matthew Griffin With the 2015 Proxy Season close at hand, Glass, Lewis & Co., LLC (Glass Lewis) and Institutional Shareholder Services Inc. (ISS) recently released their…
Rank this Week: 3888

Al-Mirsal

Al-Mirsal

Covers Middle East banking and finance law. By Latham & Watkins LLP.

http://www.al-mirsal.com/
  • Jan 20

    How Oil and Gas Companies can Optimize Technology Performance and Costs During Oil Price Volatility

    How Oil and Gas Companies can Optimize Technology Performance and Costs During Oil Price Volatility
    An unexpected surge in production coupled with weakened global demand has resulted in a 50 percent drop in the price of crude oil since June 2014 and currently averaging US$50 a barrel. The Organization of the Petroleum Exporting Countries…
  • Jan 13

    What You Need to Know About Abu Dhabi Global Market’s New Draft Regulation

    What You Need to Know About Abu Dhabi Global Market’s New Draft Regulation
    The Abu Dhabi Global Market, Abu Dhabi’s new financial free zone, located on Al Maryah Island, recently issued a first wave of draft regulations and related consultation papers. The Global Market’s general approach in the draft…
  • Jan 12

    Navigating the Risks of Omnichannel Retail

    Navigating the Risks of Omnichannel Retail
    Digital innovation is reinventing the retail experience. IT is changing the way retailers interact with customers by integrating sales and communication channels, enabling in-store digital interfaces and diversifying payment platforms. As…
Rank this Week: 3933

Mandelman Matters

Mandelman Matters

Covers the foreclosure crisis. By Martin Andelman.

http://mandelman.ml-implode.com
Rank this Week: 523

NC Business & Banking Law Blog

NC Business & Banking Law Blog

Legal news and analysis on matters affecting financial institutions and other businesses, with an emphasis on North Carolina. By Matt Cordell.

http://bizlawnc.com/
  • Jan 16

    What Would The White House's Data Security Breach Proposal Mean For North Carolina Businesses?

    What Would The White House's Data Security Breach Proposal Mean For North Carolina Businesses?
    Earlier this week, the President announced a new cybersecurity initiative. The White House explained that:"[t]here is a growing perception that individuals have lost control of their personal information; a negative implication of such a…
  • Jan 11

    When Your Identity Has Been Stolen: 10 Steps to Follow

    When Your Identity Has Been Stolen: 10 Steps to Follow
    On several occasions, I've been asked to help individuals whose identities have been stolen. However, most of the time, it is not cost-effective for a lawyer to handle the majority of the initial steps in responding to identity theft for an…
  • Jan 8

    Has the FTC Overstepped Its Bounds on Privacy and Information Security?

    Has the FTC Overstepped Its Bounds on Privacy and Information Security?
    One of the most frustrating things about privacy and information security law is the lack of certainty when it comes to acceptable uses and protocols.  This piece is intended to explain some of the reasons for the…
Rank this Week: 3902

Payment Law Advisor

Payment Law Advisor

Provides legal commentary and resources for the payment industry. By Davis Wright Tremaine LLP.

http://www.paymentlawadvisor.com/
  • Jan 15

    Survey of UDAAP Activities Under the Dodd-Frank Act

    Survey of UDAAP Activities Under the Dodd-Frank Act
    DWT Payments Team member Adam Maarec recently published the third article in a series that surveys activities identified as unfair, deceptive, or abusive (UDAAP) under the Dodd-Frank Wall Street Reform and Consumer Protection Act. The latest…
  • Jan 7

    CFPB Enforcement Data Reveals Increased UDAAP Focus, Willingness to Litigate

    CFPB Enforcement Data Reveals Increased UDAAP Focus, Willingness to Litigate
    In conjunction with a forthcoming survey on the CFPB’s UDAAP enforcement actions and our UDAAP enforcement action database, we generated data to analyze all of the CFPB’s enforcement activity since the agency came into existence.…
  • Jan 6

    Cybersecurity: The Human Factor

    Cybersecurity: The Human Factor
    Financial institutions are under a constant and growing cyber assault from hacktivists that want to cause online mischief, criminals that want to steal consumer data and nation-states that are looking for a military, political or economic…
Rank this Week: 2212

Strictly Business

Strictly Business

Covers business law for entrepreneurs, emerging companies and the investment management industry. By Alexander J. Davie.

http://www.strictlybusinesslawblog.com/
Rank this Week: 3180

Investment Fund Law Blog

Investment Fund Law Blog

Provides updates and insights on legal issues facing fund managers and investors. By Pillsbury Winthrop Shaw Pittman LLP.

http://www.investmentfundlawblog.com/
  • Jan 14

    2015 SEC Examination Prioritie

    2015 SEC Examination Prioritie
    The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) recently released its Examination Priorities for 2015.  The priorities represent certain practices and products that OCIE believes present a…
  • Jan 13

    2015 Annual Compliance for Registered Firm

    2015 Annual Compliance for Registered Firm
    Annual Compliance Obligations—What You Need To Know As the new year is upon us, there are some important annual compliance obligations Investment Advisers either registered with the Securities and Exchange Commission (the…
  • Jan 12

    Say Hello to the SEC’s Digital Currency Working Group

    Say Hello to the SEC’s Digital Currency Working Group
    Now that enforcement agencies have determined that digital currencies are more than a passing fad, they are establishing more permanent efforts focused on the novel legal issues digital currencies present. The SEC’s formation of its…
Rank this Week: 1583

RESPA Lawyer Blog

RESPA Lawyer Blog

Covers the Real Estate Settlement Procedures Act (RESPA). By Sterbcow Law Group LLC.

http://www.respalawyer.com/
  • Jan 12

    TILA-RESPA implementation deadline triggering warning signs for industry

    TILA-RESPA implementation deadline triggering warning signs for industry
    The TILA-RESPA Integrated Disclosure Rule's implementation date is beginning to cause heightened concern and worry for those involved in the residential lending industry. One reason is the emerging news that a number of the 3rd party vendors…
  • Dec 23

    CFPB SUES SPRINT FOR UDAAP VIOLATIONS INVOLVING UNAUTHORIZED THIRD-PARTY CHARGES

    CFPB SUES SPRINT FOR UDAAP VIOLATIONS INVOLVING UNAUTHORIZED THIRD-PARTY CHARGES
    The Consumer Financial Protection Bureau "CFPB" and Federal Trade Commission "FTC" filed suit against the Sprint Corporation in the United States District Court Southern District of New York on December 17, 2014 alleging that Sprint illegally…
  • Oct 31

    RESPA Webinar: "Marketing Services Agreements in the New Era of RESPA Enforcement"

    RESPA Webinar: "Marketing Services Agreements in the New Era of RESPA Enforcement"
    October Research has scheduled a webinar for Tuesday, November 18, 2014 from 2:00-3:30 PM EST in which Marx Sterbcow of the Sterbcow Law Group; Charles Cain who is the Senior Vice President Midwest Agency Manager of WFG National Title…
Rank this Week: 1286

Texas Debt Suit Defense 101

Texas Debt Suit Defense 101

Covers credit card and other debt suit litigation in Texas from the defense side, including substantive legal and evidentiary issues, and comparative analysis of pleadings, legal theories, and litigation strategy. By Wolfgang Demino.

http://debt-suit-litigation-in-texas.blogspot.com
  • Jan 10

    Mark Rechner - Debt Collection Attorney Profile

    Mark Rechner - Debt Collection Attorney Profile
    ABOUT MARK RECHNER PROFESSIONAL BIOGRAPHIC INFORMATION,LITIGATION RECORD, AND TYPICAL PLEADINGS Mark Rechner, whose full name is Mark August Rechner, is a Dallas-based debt collection attorney with the lawfirm Vincent…
  • Sep 1

    SCOTT PARNELL & ASSOCIATES, P.C. (lawfirm suing on charged-off credit card debt)

    SCOTT PARNELL & ASSOCIATES, P.C. (lawfirm suing on charged-off credit card debt)
    SCOTT, PARNELL & ASSOCIATES, P.C. is a debt collection firm and successor to MICHAEL J SCOTT, P.C. Attorneys listed on the firm's address block on debt suit pleadings (as of July 2014) include the following:Michael J. ScottTeri…
  • Aug 24

    HSBC Bank Nevada, National Association, Las Vegas, Nevada (“HSBC Nevada”) - No longer in existence

    HSBC Bank Nevada, National Association, Las Vegas, Nevada (“HSBC Nevada”) - No longer in existence
    CREDIT CARD DEBT SUITS  BASED ON ACCOUNTS OF HSBC BANK NEVADA, N.A.HSBC BANK NEVADA, N.A. was a national bank that has since ceased to exist. It issued various private label and co-branded cards, including Best Buy and Metris.…
Rank this Week: 1689

Financial Institutions Law Blog

Financial Institutions Law Blog

Covers issues such as usury, form compliance for federal and state consumer transactions, UCC and securitization issues. By Sheppard Mullin.

http://www.financialinstitutionlawblog.com/
Rank this Week: 2437

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Jan 7

    Arbitration's Cancer – The Systemic Bias Created by the Co-existence of Paid Arbitrators, Arbitrator Strikes, and Award Historie

    Arbitration's Cancer – The Systemic Bias Created by the Co-existence of Paid Arbitrators, Arbitrator Strikes, and Award Historie
    One of the cornerstones of the rules of judicial ethics is that bias is to be avoided or ferreted out.  The intolerance for bias in our judiciary is not limited to overt bias.  Indeed, it has been said: “because bias is so…
  • Dec 16

    Are You Stuck in a REIT?

    Are You Stuck in a REIT?
    Realty Capital Securities, LLC (RCS) is a Boston-based unit of American Realty Capital (ARC).  According to its website, ARC is a “full service investment advisory firm sponsoring a series of investment programs with an emphasis on…
  • Nov 30

    What Will be on the SEC’s 2015 Exam Priorities for Investment Advisers?

    What Will be on the SEC’s 2015 Exam Priorities for Investment Advisers?
    Each January, The SEC’s National Exam Program (“NEP”) issues examination priorities for the year ahead.  The priorities are based upon the SEC’s evaluation of those areas in the financial markets that it believes…
Rank this Week: 4288

Sharesleuth.com

Sharesleuth.com

Offers investigative reporting aimed at exposing securities fraud. By Chris Carey.

http://sharesleuth.com/
  • Dec 31

    Kandi Technologies Group Inc.: Where are the Go-Karts?

    Kandi Technologies Group Inc.: Where are the Go-Karts?
    When the global economy collapsed in the fall of 2008, the sharp drop in consumer spending threw the power sports industry into a steep decline. Sales of motorcycles, go-karts and all-terrain vehicles each plunged by 30 percent or more,…
  • Oct 7

    Kandi Technologies Group Inc.: The return of the cyber shill

    Kandi Technologies Group Inc.: The return of the cyber shill
    Last June, shares of Kandi Technologies Group Inc. (Nasdaq: KNDI) doubled in the space of a week, spurred on by a mysterious network of social-media touters who later deleted their posts or shut down their accounts…
  • Jun 17

    Telestone Technologies revisited: SEC letters reveal doubts about revenues and receivable

    Telestone Technologies revisited: SEC letters reveal doubts about revenues and receivable
    Recently released letters between the Securities and Exchange Commission and Telestone Technologies Corp. (Pink Sheets: TSTC) show that regulators have significant concerns about the Chinese wireless communication company’s reported…
Rank this Week: 2510

Lenders 360.

Lenders 360.

Covers business and legal issues affecting the financial services industry. By Winstead PC.

http://www.lenders360blog.com
Rank this Week: 3860

Financial Regulatory Report

Financial Regulatory Report

Covers financial services regulation, compliance, enforcement and litigation. By Reed Smith LLP.

http://www.financialregulatoryreport.com/
Rank this Week: 1640

Asset Hunter: Tracking…

Asset Hunter: Tracking International Financial Fraud

Covers the legal ramifications of financial fraud related to multinational corporations, multinational financial institutions, foreign governments, foreign officials and high-profile individuals in sensitive regulatory, civil and international criminal matters. By Michael Diaz, Jr.

http://www.michaeldiazjr.com
  • Dec 2

    Diaz Reus Forms Drone Legal Practice

    Diaz Reus Forms Drone Legal Practice
    In response to the growing phenomenon of domestic drones and legal/regulatory issues surrounding their use, the Florida-based international law firm of Diaz Reus announces the launch of its Unmanned Aircraft Systems (UAS) practice. Headed by…
  • Feb 5

    Diaz Reus & Targ LLP scored a stunning…

    Diaz Reus & Targ LLP scored a stunning victory in the U.S. District Court for the Southern District of New York last week on behalf of the government of Venezuela, obtaining complete and final dismissal with prejudice of a suit brought by…
  • Sep 25

    Bolivia’s Anti-Corruption Colonel, Mario Fabrizio Ormachea, Arrested in Miami FBI Sting | Trial period set for October

    Bolivia’s Anti-Corruption Colonel, Mario Fabrizio Ormachea, Arrested in Miami FBI Sting | Trial period set for October
    Mario Fabrizio Ormachea, the colonel leading Bolivia’s Anti-Corruption Unit, is being held without bail in Miami, awaiting an October 21 trial period after being arrested in an August 31 Miami FBI sting operation where he attempted to…
Rank this Week: 1220

OFAC SDN Sanctions Removal Lawyers

OFAC SDN Sanctions Removal Lawyers

Covers the Department of Treasury's Office of Foreign Assets Control and its Specially Designated Nationals list. By McNabb Associates, P.C.

http://ofac-sdn-list-removal.com/
Rank this Week: 1660

Illinois Business Law Journal

Illinois Business Law Journal

Covers recent developments affecting business law. From the University of Illinois College of Law.

http://www.law.illinois.edu/bljournal/
  • Nov 27

    Two Sides of the Same [Bit]coin: Why Regulating Bitcoin Works in Its Favor

    Two Sides of the Same [Bit]coin: Why Regulating Bitcoin Works in Its Favor
               The reality of the most notorious virtual currency is that it is only a matter of time before it comes under the purview of a regulatory body.  Bitcoin is a cryptocurrency that exists entirely…
  • Nov 27

    The Ride-Sharing Economy: Keeping Liability in the Rearview

    The Ride-Sharing Economy: Keeping Liability in the Rearview
                      In large cities the world over, passengers have stopped reaching into the air to hail a cab and have begun reaching into their pockets for their smartphones.  Companies such…
  • Nov 23

    A Look at IRS's Transfer Pricing Audit Roadmap

    A Look at IRS's Transfer Pricing Audit Roadmap
    Background   There are still a number of corporations which have not fully recovered from the economic downturn, which consequently leads to less tax revenue for tax authorities.  As such, some of the tax authorities around the…
Rank this Week: 280

Southeast VC

Southeast VC

Covers businesses, trends, technology and venture investing in the Southeast. By Jason Caplain.

http://southeastvc.blogs.com/southeast_vc/
  • Nov 20

    Scott Kupor Andreessen Horowitz Speaks with Entrepreneurs at BCVP

    Scott Kupor Andreessen Horowitz Speaks with Entrepreneurs at BCVP
    We invited some local tech founders over to our office Wednesday night to meet Scott Kupor Managing Partner at Andreessen Horowitz. We have been close with Scott since before he joined Andreessen Horowitz. We thought this would be a good...
  • Sep 9

    WedPics CEO Shares Investor Email

    WedPics CEO Shares Investor Email
    I referenced WedPics' CEO/founder Justin Miller in my last blog post. He sends a monthly email to us. His emails serve 2 purposes: 1) Keeps Justin and WedPics top of mind 2) Shows off his continued success as he thinks...
  • Sep 9

    Fundraising Tip

    Fundraising Tip
    Raising capital from investors can be a long, tough and often an incredibly frustrating process. Entrepreneurs often ask us for help (even when we're not in their company). I thought I would share my email I just sent in response...
Rank this Week: 1627

Redeye VC

Redeye VC

Offers a view of startup ecosystem. By Josh Kopelman.

http://redeye.firstround.com/
  • Sep 24

    WhatsApp Used This Pricing Strategy to Win and You Can Too

    WhatsApp Used This Pricing Strategy to Win and You Can Too
    Seven years ago, First Round Partner Josh Kopelman wrote a seminal blog post on the importance of free services in consumer-facing business models. He argued that most entrepreneurs misunderstand how subscription pricing works and…
  • Sep 22

    7 Tactics to Get the Most Out of Your Startup's Advisor

    7 Tactics to Get the Most Out of Your Startup's Advisor
    It happens all the time. A founder surrounds him or herself with a skilled group of advisors — maybe one or two from investors, a trusted mentor from their past, perhaps someone influential who can open doors. But as the company…
  • Sep 15

    Make Engineering Interns Truly Effective with This Startup's Program

    Make Engineering Interns Truly Effective with This Startup's Program
    At just three years old, Sift Science has accomplished a surprising amount. Its product, which combats fraud using machine learning, is an important tool for companies like Kickstarter, Airbnb, Uber and Opentable. But with just over 30…
Rank this Week: 857

Banking Law Update

Banking Law Update

Provides updates and commentary on developments in law affecting banks and financial institutions. By Verrill Dana LLP.

http://www.bankinglawupdate.com/
  • Aug 26

    Tips for Merchants and Consumers Facing a Data Breach

    Tips for Merchants and Consumers Facing a Data Breach
    The high-profile data breach at Target made international news. But small and midsized businesses face the majority of cyber attacks and are even more likely to have employees mishandle data than large enterprises.
  • Aug 25

    CFPB Issues Advisory on Bitcoin, Virtual Currencie

    CFPB Issues Advisory on Bitcoin, Virtual Currencie
    On August 11, 2014, the Consumer Financial Protection Bureau released a Consumer Advisory about virtual currencies.  The Advisory followed a directive by the U.S. Government Accountability Office for the CFPB to conduct a close…
  • Aug 8

    Maine Updates Truth-In-Savings, Funds Availability Rule

    Maine Updates Truth-In-Savings, Funds Availability Rule
    Maine’s Truth-in-Savings and Funds Availability Rule is getting an overhaul.  On August 6, 2014, Maine’s Bureau of Financial Institutions announced that changes to Chapter 118, Funds Availability and Truth-in-Savings had…
Rank this Week: 1024

Australian Regulatory Compliance…

Australian Regulatory Compliance Review

Covers legal and regulatory impacts on Australian businesses. By David Jacobson.

http://www.djacobson.com/australian_regulatory_rev/
  • Jun 15

    Are ASIC investigations of financial service providers private?

    Are ASIC investigations of financial service providers private?
    Are ASIC investigations of financial service providers private? Not automatically. In dealing with ASIC and other regulators it is important to understand that the Freedom of Information Act 1982 applies to government agency records and…
  • Jun 15

    Can a special general meeting be adjourned?

    Can a special general meeting be adjourned?
    In the matter of Re1 Limited (ABN 80 145 743 862) and Re2 Limited as responsible entities for Westfield Retail Trust 1 and Westfield Retail Trust 2 (No 3) [2014] NSWSC 762 the NSW Supreme Court considered the adjournment of the adjournment of…
  • Jun 15

    Small amount credit change

    Small amount credit change
    The National Consumer Credit Protection Amendment (Small Amount Credit Contracts) Regulation 2014 was registered on 12 June 2014. The Regulation clarifies the changes introduced on 1 July 2013 which imposed a cap on costs and a limit on fees…
Rank this Week: 912

Financial Industry Resource Center

Financial Industry Resource Center

Covers the financial crisis. By Hunton & Williams.

http://www.huntonfinancialindustryresourcecenter.com/
  • May 7

    CFPB Proposes New GLB Privacy Notice Rule

    CFPB Proposes New GLB Privacy Notice Rule
    As reported on our Privacy and Information Security Law Blog, on May 6, 2014, the Consumer Financial Protection Bureau (“CFPB”) announced a new proposed rule impacting privacy notices that financial institutions are required to…
  • Jan 23

    SEC Releases "Regulation A+" Proposal

    SEC Releases "Regulation A+" Proposal
    On December 18, 2013, the SEC proposed rules under Title IV of the JOBS Act to amend Regulation A (Rules 251-263 under the Securities Act of 1933 (the "Securities Act")). The proposed rules, which have been referred to informally as…
  • Nov 27

    CFTC Court Case and New Rules Establish Bank Duties to Monitor Commodity Broker

    CFTC Court Case and New Rules Establish Bank Duties to Monitor Commodity Broker
    A recent court order in favor of the Commodity Futures Trading Commission (or CFTC) and new rules issued by CFTC establish a standard of liability for depository institutions that fail to fulfill their customer funds protection obligations…
Rank this Week: 4196

BeyondVC

BeyondVC

Covers entrepreneurship, venture capital, technology, investing, and globalizaiton. By Ed Sim.

http://www.beyondvc.com/
  • Feb 12

    boldstart ventures in 2014 – our etho

    boldstart ventures in 2014 – our etho
    As we look into 2014, we thought it was important to reflect on our activities in 2013 and refocus and refine our thinking and messaging as a firm. We are thematic in our approach and primarily known as seed investors with a focus on…
  • Feb 12

    boldstart ventures in 2014 – our etho

    boldstart ventures in 2014 – our etho
    As we look into 2014, we thought it was important to reflect on our activities in 2013 and refocus and refine our thinking and messaging as a firm. We are thematic in our approach and primarily known as seed investors with a focus on…
  • May 17

    Branding first starts with your team

    Branding first starts with your team
    External branding starts with developing a consistent, internal message first. When you think of branding and positioning, remember that your first line of offense and the most important representation of your company comes from your…
Rank this Week: 2472