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RIA Compliance Blog

RIA Compliance Blog

Covers registered investment advisor regulations. By Page Perry LLC.

http://www.riacomplianceblog.com/
  • Sep 7

    California Court Decision May Allow Brokers to Expunge Their Records More Easily

    California Court Decision May Allow Brokers to Expunge Their Records More Easily
    In a decision last month, the California Court of Appeals may have opened the door for brokers to bypass the Financial Industry Regulatory Authority's (FINRA) rigid expungement rules in order to remove matters from their CRD records. …
  • Aug 27

    States Report RIA Enforcement Cases Doubled in 2011

    States Report RIA Enforcement Cases Doubled in 2011
    The North American Securities Administrators Association (NASAA) released preliminary numbers this month showing that the number of enforcement cases brought by state regulators doubled during 2011. During that year, states brought about 400…
  • Jul 26

    Bachus SRO Bill Likely Dead This Year; Waters Introduces User Fee proposal

    Bachus SRO Bill Likely Dead This Year; Waters Introduces User Fee proposal
    Proposed legislation designed to create a self-regulatory organization (SRO) for investment advisers may not be acted on during this Congressional session, according to its sponsor, Rep. Spencer Bachus (D-Ala.). Rep. Bachus, Chairman of the…
Rank this Week: 3554

The Big Do-Over

The Big Do-Over

Covers financial regulation. By Wendy Fried.

http://www.thebigdo-over.com/
  • Apr 28

    Lloyd and Me: Goldman Hysteria, Revisited

    Lloyd and Me: Goldman Hysteria, Revisited
    In my last post, I suggested that the ranting in Congress over Goldman’s practices was a tad overdone, thus gleaning some interesting personal insults from Goldman-hating Seeking Alpha readers.Guys, ya got me; Lloyd Blankfein bribed me to…
  • Apr 27

    Goldman Hysteria: Put Away Childish Thing

    Goldman Hysteria: Put Away Childish Thing
    Kenneth Griffin, head of the Citadel hedge fund, says it's "childish" to use the uproar over Goldman’s Abacus deal as a basis for regulatory reform.I feel ya, Ken. There are good reasons to be angry at Goldman, but this is turning into an…
  • Apr 21

    Citi, the FCIC, and The End of History

    Citi, the FCIC, and The End of History
    Yesterday I saw a preteen kid wearing a T-shirt that said: “I’m surrounded by idiots.” Bill Thomas, Vice Chair of the Financial Crisis Inquiry Commission, should totally have worn that shirt to the Commission’s last hearing.As former…
Rank this Week: 3198

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/
  • May 9

    Best Laid Plans Gone Awry: Practices for Rule 10b5-1 Trading Plan

    Best Laid Plans Gone Awry: Practices for Rule 10b5-1 Trading Plan
    Written by Sarah A. Good, Cindy V. Schlaefer, Brian M. Wong, Gabriella A. Lombardi and Laura C. Hurtado Rule 10b5-1 trading plans are in the limelight due to investigations initiated by U.S. Attorney’s Offices and the SEC into…
  • Apr 29

    Lifting Ban on Hedge Fund Advertising

    Lifting Ban on Hedge Fund Advertising
    Today, Jay Gould was interviewed by Deirdre Bolton on Bloomberg TV’s “Money Moves” where Jay discussed lifting the ban on hedge fund advertising.  
  • Apr 16

    Private Equity Fund Managers as Unregistered Broker Dealers - Sanctions and Rescission

    Private Equity Fund Managers as Unregistered Broker Dealers - Sanctions and Rescission
    Written by:  Jay Gould On April 8, 2013, we reviewed a recent speech by David Blass, the Chief Counsel of the Division of Trading and Markets of the Securities and Exchange Commission (the “SEC”), in which Mr. Blass provided…
Rank this Week: 4144

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: 5104

Lenders 360.

Lenders 360.

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

http://www.lenders360blog.com
  • Apr 16

    Foreclosure Tip #1: Inspections – Do It Before You Own It

    Foreclosure Tip #1: Inspections – Do It Before You Own It
    In some parts of the country, a recovering local economy means the special asset (or problem loan) groups are reducing staff, as loan production groups come back to life.  Leaving the special asset group under-staffed could be a mistake…
  • Apr 3

    Refresh Your Mortgage Loan Documents with these Tech Topic

    Refresh Your Mortgage Loan Documents with these Tech Topic
    Most commercial real estate loan documents give meaning to the phrase “real estate is old as dirt.”  Why? Because just as dirt doesn’t change, commercial mortgage loan documents largely ignore the impact of technology…
  • Mar 26

    Business Focus on Connections & Information Ignores . . . Lawyer

    Business Focus on Connections & Information Ignores . . . Lawyer
    As I look around the business landscape, much of the focus of company growth seems to center on leveraging the internet for greater connections (with their trading partners) and for more information (“big data”). It’s a…
Rank this Week: 4599

Special Assets Lawyer Blog

Special Assets Lawyer Blog

Covers bankruptcy, foreclosure, loan workouts and receiverships. By Richard A. Rogan.

http://www.specialassetslawyer.com/
  • Apr 12

    Dick Rogan to Speak at SAMA Conference

    Dick Rogan to Speak at SAMA Conference
    I will be a panelist discussing "Specialized Loan Workouts" at the upcoming 4th Annual Special Assets Management Association conference to be held next week at the Santa Barbara Biltmore Hotel. My fellow panelists are the highly capable…
  • Apr 5

    Can a Plan of Reorganization Separately Classify a Claim That Is Personally Guaranteed?

    Can a Plan of Reorganization Separately Classify a Claim That Is Personally Guaranteed?
    Recently, we've been seeing debtors try to confirm cram down plans of reorganization that are unfavorable to the secured creditor by "gerrymandering" the class of unsecured claims. The typical situation finds the secured creditor holding an…
  • Feb 12

    Lenders: Beware of the Arizona "Two-Dollar Bankruptcy"

    Lenders: Beware of the Arizona "Two-Dollar Bankruptcy"
    Recently, my partner, Matt Kenefick, obtained a large judgment here in California against an Arizona resident. The desert rat refused to pay up voluntarily, hiding behind Arizona's unique and highly protective community property laws. The…
Rank this Week: 5236

Financial Industry Recovery Center

Financial Industry Recovery Center

Covers the financial crisis. By Hunton & Williams.

http://www.huntonfinancialindustryrecovery.com/
  • Apr 11

    SEC and CFTC Adopt Rules on Red Flags and Identity Theft

    SEC and CFTC Adopt Rules on Red Flags and Identity Theft
    On April 10, 2013, the Securities and Exchange Commission (“SEC”) and the Commodity Futures Trading Commission (“CFTC”) jointly adopted rules that require broker-dealers, mutual funds, investment advisers and certain…
  • Jan 22

    The Essentials: The CFPB's Final "Ability-to-Repay/Qualified Mortgage" Rule

    The Essentials: The CFPB's Final "Ability-to-Repay/Qualified Mortgage" Rule
    On January 10, 2013, the Consumer Financial Protection Bureau (the “CFPB”) issued final rules (the “Ability-to-Repay Rules”) amending Regulation Z under the Truth in Lending Act (“TILA”) to implement the…
  • Jan 15

    Consumer Financial Protection Bureau Releases Final "Ability-to-Repay/Qualified Mortgage" Rule

    Consumer Financial Protection Bureau Releases Final "Ability-to-Repay/Qualified Mortgage" Rule
    On January 10, 2013, the Consumer Financial Protection Bureau (CFPB) released its final “Ability-to-Repay/Qualified Mortgage” rules. The rules and the concurrent proposed amendments were posted on the CFPB’s website…
Rank this Week: 4792

Redeye VC

Redeye VC

Offers a view of startup ecosystem. By Josh Kopelman.

http://redeye.firstround.com/
  • Mar 19

    Six months in Philly

    Six months in Philly
    It’s been a little over six months since we moved our headquarters into the city of Philadelphia. And boy has a lot happened since then: We announced the Dorm Room Fund here in Philadelphia. We received interest from over 700...
  • Mar 4

    First Round Capital is Hiring: Platform Experience and Operations Manager

    First Round Capital is Hiring: Platform Experience and Operations Manager
    First Round Capital is an entirely new kind of venture firm built from the ground up to help the world's best entrepreneurs build better companies. One of our key tools to deliver on this promise is crafting incredible in person...
  • Feb 6

    Hiring Female Engineer

    Hiring Female Engineer
    We host 50+ events for our portfolio companies a year -- and historically we've held off on sharing the content widely, since we viewed it as a benefit that came from being a member of the First Round Capital community....
Rank this Week: 4032

Bank D&O Liability Law Blog

Bank D&O Liability Law Blog

Covers bank director and officer liability. By Jennings, Strouss & Salmon, PLC.

http://www.bankdandolaw.com/
Rank this Week: 4653

Broken Bench Bytes

Broken Bench Bytes

Covers decisions affecting corporate bankruptcy, restructuring and turnarounds. By Kramer Levin.

http://blogs.kramerlevin.com/brokenbenchbytes/
Rank this Week: 4633

Lending Law Report

Lending Law Report

Covers corporate financial transactions. By Reed Smith LLP.

http://www.lendinglawreport.com/
  • Oct 22

    Commercial Tort Claims as Collateral

    Commercial Tort Claims as Collateral
    This post was written by Reed Smith lawyers Susan Alker and Jonathan Riley. For those of you who have always wondered what a "commercial tort claim" is, and what to do when you have one, today's the day you'll get your answer. 
  • Oct 11

    Loan Participations - Are You Diligent Enough?

    Loan Participations - Are You Diligent Enough?
    This post was written by Reed Smith lawyers Susan Alker and Abbey Mansfield.
  • Aug 15

    The Thrill of Cross-Border Work

    The Thrill of Cross-Border Work
    When I was in law school, everyone wanted to do "international" work.
Rank this Week: 5105

Private Funds Law Update

Private Funds Law Update

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

http://www.privatefundslaw.com/
  • Oct 8

    SEC proposes new rules under the JOBS Act

    SEC proposes new rules under the JOBS Act
    On August 29, 2012, the SEC issued proposed rules to implement Congress' mandate, under the Jumpstart Our Business Startups Act (the "JOBS Act"), that the agency eliminate the existing ban on use of general solicitation and/or general…
  • Oct 8

    Is breaking up hard to do?

    Is breaking up hard to do?
    Click here for a discussion by Reed Smith partners Dale Gabbert and Jacqui Hatfield, together with the Funds Europe Editorial, on the issues a eurozone break-up would present for fund managers. Dale and Jacqui identify the levels at which…
  • Sep 18

    Brown v InnovatorOne: A useful CIS refresher

    Brown v InnovatorOne: A useful CIS refresher
    This post was written by Matthew Pitman and Abigail Jones. A recent case serves as a useful reminder that careful consideration should be given to what happens in practice when considering whether arrangements amount to a collective…
Rank this Week: 5124

Iowa Banking Law Blog

Iowa Banking Law Blog

Covers case law, consumer regulations, and internet banking. By Dickinson, Mackaman, Tyler & Hagen.

http://www.iowabankinglawblog.com/
Rank this Week: 3905

Financial Reform Watch

Financial Reform Watch

Covers the government's action regarding financial reform. By Blank Rome Government Relations LLC.

http://www.financialreformwatch.com
  • Mar 13

    Capital Formation Legislation - What will the Senate Do?

    Capital Formation Legislation - What will the Senate Do?
    In rare burst of bipartisanship last week, the House of Representatives passed a capital formation bill – H.R. 3606, the “Jumpstart Our Business Startups Act” (JOBS Act) – by a vote of 390 to 23. Even the White House issued a…
  • Mar 2

    Senate and House Pass Bill Banning Insider Trading by Members of Congre

    Senate and House Pass Bill Banning Insider Trading by Members of Congre
    This article was originally published in the February 2012 edition of Current Developments in Securities Laws by Michael E. Plunkett, Partner, Blank Rome LLP.   On February 2, 2012, and February 9, 2012, the Senate and House of…
  • Feb 9

    Analysis: Government's Moneyball Moment

    Analysis: Government's Moneyball Moment
    The recent movie Moneyball, based on Michael Lewis’ book, describes the cash-strapped 2002 Oakland Athletics’ efforts to build a competitive team with limited resources. Oakland General Manager Billy Beane relied on sophisticated,…
Rank this Week: 4354

Dividends and Preferences Blawg

Dividends and Preferences Blawg

Musings on Venture Capital, Technology and Entrepreneurship. By Hank J. Heyming.

http://dividendsandpreferences.blogspot.com/
  • Jan 24

    Microsoft/Skype -- Putting Things into Perspective

    Microsoft/Skype -- Putting Things into Perspective
    {EAV:984c4a016f17013d} Microsoft acquires Skype! Largest Microsoft acquisition ever!! Facebook jilted!!! Google jilted!!!! Wait, Facebook wins through Microsoft!!!!! Wait, Microsoft overpaid by $4 billion with a B!!!!!! OMG Google just…
  • May 10

    Nerd Chic

    Nerd Chic
    Lately, I've noticed a new twist to the typical ebb and flow of the fashion wars.  It occurred to me that, for perhaps the first time in my lifetime, it is cool right now to be a nerd.
  • Apr 25

    Out and About

    Out and About
    Hey folks -- I'm getting ready to head down to the RTP area for the annual CED Venture Conference.  This year it is in downtown Raleigh, instead of Pinehurst, and looks to be bigger and better than ever. So, if anyone happens to be in the…
Rank this Week: 4697

Kueser Law Firm Blog

Kueser Law Firm Blog

Covers securities and investment fraud, as well as other consumer and investor-related issues.

http://blog.jmkesquire.com
Rank this Week: 5047

VentureBlog

VentureBlog

Covers entrepreneurial success, legal issues, management issues, presenting your company, and more. By David Hornik.

http://ventureblog.com/
  • Jun 7

    Ten Years of Venture Capital: Just Getting Started

    Ten Years of Venture Capital: Just Getting Started
    Over this weekend I celebrated my tenth anniversary as a Venture Capitalist. When I joined August Capital 10 years ago, things weren't so different than they are today. There had been a period of real exuberance in venture investing but it…
  • May 7

    What a Fucking Waste of Time

    What a Fucking Waste of Time
    One of the lead tech stories this week concerned the wild and crazy early days of Facebook. According to David Kirkpatrick's soon to be released book, "The Facebook Effect," Mark Zuckerberg used to have business cards that read "I'm CEO ...…
  • Apr 2

    Why the Time for Mobile is Now

    Why the Time for Mobile is Now
    I was at a party the other night to celebrate the first anniversary of Nokia's "Ideas Project." The "Ideas Project" is an effort to bring together a diverse group of smart folks to share their thoughts on the evolution of media.
Rank this Week: 4038

Attorney R. Tamara de Silva's Blog

Attorney R. Tamara de Silva's Blog

Features a skeptical lawyer's take on financial reform, Wall Street and white collar crime.

http://attyrtamaradesilva.wordpress.com
  • Aug 19

    Fat Tail and the Bail Out

    Fat Tail and the Bail Out
    “It ain’t what you don’t know that gets you into trouble. It’s what you know for sure that just ain’t so.” Mark Twain
  • Aug 19

    Market Transparency

    Market Transparency
    Market Transparency and Accountability Act of 2009 Misses the Mark R. Tamara de Silva February 22, 2009
  • Aug 19

    Proposed Regulation

    Proposed Regulation
    Proposed Regulations, If Needed, Ought to Value Assets Better R. Tamara de Silva August 19, 2009 Are the United States Treasury, along with the Executive and Legislative branches looking everywhere but at the causes of the financial crisis…
Rank this Week: 4345