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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/
  • Oct 17

    Rio Tinto, Former Top Executives Charged With Fraud

    Rio Tinto, Former Top Executives Charged With Fraud
    The Securities and Exchange Commission today charged mining company Rio Tinto and two former top executives with fraud for inflating the value of coal assets acquired for $3.7 billion and sold a few years later for $50 million.The SEC’s…
  • Oct 13

    State-level fines and penalties hit 5-year high | On Wall Street

    State-level fines and penalties hit 5-year high | On Wall Street
    State-level fines and penalties hit 5-year high | On Wall Street:"The SEC has begun to work with the Department of Labor on a fiduciary rule proposal to harmonize the standards of conduct for advisors and broker-dealers, Jay Clayton, the…
  • Oct 13

    More Morgan Stanley Questionable Termination

    More Morgan Stanley Questionable Termination
     Our readers may have missed this article, since the headline does not point out the problem. AdvisorHub has an article regarding a shakeup in the Morgan Stanley offices in Virginia. Apparently there is another shift in Branch Office…
Rank this Week: 930

Regulation tomorrow

Regulation tomorrow

By Norton Rose Fulbright. Offers resources on the global financial services regulatory environment. It reports on financial services regulatory developments and provides insights and commentary across Africa, Asia, Australia, Canada, Europe and the United States.

http://www.regulationtomorrow.com/
  • Oct 17

    FCA launches the asset management authorisation Hub

    FCA launches the asset management authorisation Hub
    The FCA has launched a new asset management authorisation hub. The hub is intended to support new firms by assisting them throughout the authorisation process and afterwards. However, the hub will not lower entry standards to the market and…
  • Oct 17

    SONIA reform to be implemented on 23 April 2018

    SONIA reform to be implemented on 23 April 2018
    The Bank of England (BoE) has confirmed that its reforms to the SONIA interest rate benchmark will take effect on Monday 23 April 2018. The reforms will result in: the BoE taking on the end-to-end administration, including the calculation and…
  • Oct 17

    FSB stocktake on cybersecurity regulatory and supervisory practice

    FSB stocktake on cybersecurity regulatory and supervisory practice
    The Financial Stability Board (FSB) has published a report setting out its conclusions following a stocktake on cybersecurity regulations, guidance and supervisory practices which were recently delivered to G20 Finance Ministers and Central…
Rank this Week: 1674

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/
  • Oct 17

    HFM US Hedge Fund Performance Awards 2017

    HFM US Hedge Fund Performance Awards 2017
    We are pleased to announce that Pillsbury has been shortlisted in the category of “Best Onshore Law Firm – Client Service” by HFM Week’s US Hedge Fund Performance Awards 2017. In 2016, we were awarded “Best…
  • Sep 15

    SEC Risk Alert! Most Frequent Advertising Rule Compliance Issues by Investment Adviser

    SEC Risk Alert! Most Frequent Advertising Rule Compliance Issues by Investment Adviser
    The Office of Compliance Inspections and Examinations (OCIE) of the SEC issued a Risk Alert yesterday providing a list of the most frequently identified compliance issues relating to the Advertising Rule (Rule 206(4)-1) under the Investment…
  • Sep 6

    T+2 Settlement Becomes Mandatory for Most Broker-Dealer Transaction

    T+2 Settlement Becomes Mandatory for Most Broker-Dealer Transaction
    T+2 Settlement becomes mandatory for most broker-dealer transactions on September 5.   While Rule 15c6-1(d) allows, in connection with firm commitment underwritings, the issuer and underwriters to agree to different settlement…
Rank this Week: 3096

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/
  • Oct 17

    The X-Factor in Raising Capital

    The X-Factor in Raising Capital
    If I were to create a matrix of the type of deals we see, it would look something like this: Great deal, great team, great preparation Great deal, great team, poor preparation  Great deal, poor team, poor preparation Poor deal, poor…
  • Oct 16

    Your Deal Is Too Small

    Your Deal Is Too Small
    Most investment funds–whether private equity, family office or venture capital–have investment minimums. Here’s why: It takes the same amount of labor, sweat and blood to do a single $10M deal (and sometimes even more) as it…
  • Oct 15

    Impending Regulation of ICO

    Impending Regulation of ICO
    Like Reg A+, many would-be issuers (and some investors) have been recently enamored by the string of successful ICOs (Initial Coin Offerings). However, instances of fraud and abuse have been widespread, which has significantly slowed the…
Rank this Week: 3751

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Oct 17

    Justices asked to reject government petition in ALJ case

    Justices asked to reject government petition in ALJ case
    By Mark S. Nelson, J.D.David Bandimere filed an opposition to the government’s bid to persuade the Supreme Court to decide the question of whether the SEC’s administrative law judges are appointed consistent with the U.S.…
  • Oct 16

    CFTC chairman, EC VP agree to common approach on trading venue, margin requirement equivalence

    CFTC chairman, EC VP agree to common approach on trading venue, margin requirement equivalence
    By Brad Rosen, J.D.In a significant development towards cross border harmonization with the European Commission, CFTC Chairman J. Christopher Giancarlo announced that the CFTC has agreed to a common approach with the European Commission…
  • Oct 13

    SEC committee considers promises and pitfalls of distributed ledger technologie

    SEC committee considers promises and pitfalls of distributed ledger technologie
    By Anne Sherry, J.D.A morning session of the SEC’s Investor Advisory Committee tackled cryptocurrencies and distributed ledger technology (DLT) and the implications of these emerging technologies on the securities markets. A group of…
Rank this Week: 186

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Oct 17

    Today: “Pay Ratio & Proxy Disclosure Conference”

    Today: “Pay Ratio & Proxy Disclosure Conference”
    Today is the “Pay Ratio & Proxy Disclosure Conference”; tomorrow is the “Say-on-Pay Workshop: 14th Annual Executive Compensation Conference.” Note you can still register to watch online by using your credit card…
  • Oct 16

    What If the Reg Flex Agenda Became “Real”?

    What If the Reg Flex Agenda Became “Real”?
    One of the things that I’ve blogged about more than I would like is how the Reg Flex Agenda is merely aspirational – and people should pay little mind to it (here’s one of my more recent entries). History certainly has borne…
  • Oct 13

    Edgar Vulnerable to “Denial of Service Attacks”!

    Edgar Vulnerable to “Denial of Service Attacks”!
    Recently, I blogged how the SEC’s Edgar is critical to a transparent financial market – and how the recent hack of Edgar is serious business. This Reuters article notes that Edgar could be at risk from “denial of…
Rank this Week: 810

Financial Institutions Legal…

Financial Institutions Legal Snapshot

Covers banking, finance and insurance law in South Africa. By Norton Rose Fulbright.

http://www.financialinstitutionslegalsnapshot.com/
  • Oct 17

    Thirty year prescription on debt secured by a mortgage when summons issued

    Thirty year prescription on debt secured by a mortgage when summons issued
    A lender relied on a 30 year extinctive prescription period applicable to ‘any debts secured by a mortgage bond’ under section 11(a)(i) of the Prescription Action 1969 but failed because the mortgage bond was not valid at the…
  • Oct 16

    South African Health Products Regulatory Authority Board has been appointed

    South African Health Products Regulatory Authority Board has been appointed
    The Minister of Health has appointed the board members of the newly established South African Health Products Regulatory Authority (SAHPRA). This health agency is the successor to the Medicines Control Council (MCC) which for decades has been…
  • Oct 11

    Proceedings before enforcement committee under Security Services Act apply civil standard of proof

    Proceedings before enforcement committee under Security Services Act apply civil standard of proof
    The appellants in Pather v Financial Services Board failed in the suggestion that claims against it of contravention of the Security Services Act 2004 should have been proved by the enforcement committee according to the criminal standard,…
Rank this Week: 1581

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
  • Oct 16

    SEC Proposes Amendments to Modernize and Simplify Regulation S-K

    SEC Proposes Amendments to Modernize and Simplify Regulation S-K
    On October 11, 2017, the U.S. Securities and Exchange Commission (SEC) voted to adopt proposed amendments to Regulation S-K that are intended to modernize and simplify certain disclosure requirements and related rules and forms. Below are…
  • Oct 11

    Nasdaq Proposes Changes to SPAC Listing Rule

    Nasdaq Proposes Changes to SPAC Listing Rule
    On October 11, 2017, the Securities and Exchange Commission (SEC) published for comment a proposal by NASDAQ Stock Market LLC (Nasdaq) to modify its initial and continued listing requirements for special purpose acquisition companies…
  • Sep 28

    Updated SEC Guidance Emphasizes Flexibility in Complying with Pay Ratio Disclosure Rule

    Updated SEC Guidance Emphasizes Flexibility in Complying with Pay Ratio Disclosure Rule
    Beginning in 2018, U.S. public companies will generally need to comply with the pay ratio disclosure rule under the Dodd-Frank Wall Street Reform and Consumer Protection Act, which requires that each such company disclose the annual total…
Rank this Week: 2461

Mortgage Fraud Blog

Mortgage Fraud Blog

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

http://mortgagefraudblog.com/
  • Oct 16

    Sentence in Modification Fraud

    Sentence in Modification Fraud
    Mortgage Fraud Blog. Ana Maritza Gomez, 45, Hyattsville, Maryland, was sentenced to 30 months in prison followed by 3 years of supervised release for conspiracy to commit mail and wire fraud arising from a scheme to defraud victims…
  • Oct 16

    Former Settlement Agent Convicted in Refinancing Fraud

    Former Settlement Agent Convicted in Refinancing Fraud
    Mortgage Fraud Blog. Mark Andreotti, 46, Wyckoff, New Jersey, a former settlement agent, was convicted at trial on charges related to the refinancing of properties in Bergen and Morris Counties, New Jersey.  Andreotti was found guilty on…
  • Oct 16

    Mortgage Fraud Tactics in Bridge Financing Case

    Mortgage Fraud Tactics in Bridge Financing Case
    Mortgage Fraud Blog. David T. Odom, 53, Chicago, Illinois, was sentenced to 30 months in prison, followed by three years of supervised release for a wire fraud conspiracy arising from a scheme to defraud lenders in order to…
Rank this Week: 3

Financial Regulatory Report

Financial Regulatory Report

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

http://www.financialregulatoryreport.com/
  • Oct 16

    Travis Nelson Organizes Annual OCC Alumni Association Event in Washington, DC

    Travis Nelson Organizes Annual OCC Alumni Association Event in Washington, DC
    On October 12, 2017, Travis Nelson of the Reed Smith’s Financial Services Regulatory Group, organized the annual Office of the Comptroller of the Currency (OCC) Alumni Association reception and dinner in Washington, DC. Travis is the…
  • Oct 10

    Blunt Talk on Marijuana Banking in New Jersey

    Blunt Talk on Marijuana Banking in New Jersey
    On Wednesday, October 11, 2017, Reed Smith Princeton attorneys Travis Nelson and Kristy Keiser will lead a discussion at the quarterly meeting of the Banking Law Section of the New Jersey State Bar Association. In addition to the…
  • Oct 6

    Final Payday Lending Rule Released by the CFPB

    Final Payday Lending Rule Released by the CFPB
    On Thursday October 5, the Consumer Financial Protection Bureau (CFPB) issued a long-awaited final rule governing certain short-term loans and longer term loans involving balloon payments, better known as the payday lending rule. The rule is…
Rank this Week: 430

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/
  • Oct 15

    Cordray Certainly Does Not Have T-Rex Arm

    Cordray Certainly Does Not Have T-Rex Arm
    While Republicans in Congress (except those with upcoming election contests in "blue" or "purple" states) are busy pushing legislation that would, if not exactly castrate the CFPB, at the very least push its singing range…
  • Oct 1

    In Sickness and In Health

    In Sickness and In Health
    This blog was off the air last week because its author was in the hospital and will be off the air for at least another week while he completes out-patient infusion therapy which involves (legal) drugs whose side effects inhibit...
  • Sep 17

    We're Actually Nice To Them!

    We're Actually Nice To Them!
    When we last checked in on Vernon Hill almost two years ago, he had taken the millions he'd made in community banking in the U.S. and launched an effort to replicate his previous success on the mother ship: the U.K....
Rank this Week: 982

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
  • Oct 15

    Securities Industry Commentator

    Securities Industry Commentator
    ...
  • Oct 15

    Securities Exchange Commentator

    Securities Exchange Commentator
    BrokeAndBroker.Com Blog By Bill Singer WEEK IN REVIEW http://www.brokeandbroker.com/3619/brokeandbroker-bill-singer/Wall Street legal, regulatory, and compliance cases and developments analyzed by veteran industry lawyer Bill…
  • Oct 15

    Securities Industry Commentator by Bill Singer, Esq.

    Securities Industry Commentator by Bill Singer, Esq.
    Dazed And Confused By FINRA Private Securities Transaction Rule  http://www.brokeandbroker.com/3622/finra-pst/Among FINRA's more lucrative fine-generating violations is FINRA Rule 3280: Private Securities Transactions of an…
Rank this Week: 906

www.lawblogswitzerland.ch

www.lawblogswitzerland.ch

Covers Swiss, European and international legal news. It focuses on data protection, privacy, technology law, IT/IP law, criminal law, administrative law, civil law, tax law, banking and finance law, bankruptcy, competition law and construction as well as real estate law.

http://www.lawblogswitzerland.ch
Rank this Week: 2084

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/
  • Oct 12

    NC Business Court Rules On What Constitutes An "Arbitration"

    NC Business Court Rules On What Constitutes An "Arbitration"
    You've probably never had to decide what it means to agree to arbitrate.  Usually, there is a written provision that references the AAA Rules and includes a consent to AAA's procedures as to the appointment of the arbitrator(s) and the…
  • Sep 6

    Demand Futility Isn't Dead For Derivative Actions Against Non-Profit Corporation

    Demand Futility Isn't Dead For Derivative Actions Against Non-Profit Corporation
    You probably thought that you would never again have to argue that a demand on a corporation's board of directors before filing a derivative action should be excused because it would have been futile.  That's because the North Carolina…
  • Aug 8

    NC Legislature Decides To Legislate Choice Of Law Provisions In "Business Contracts"

    NC Legislature Decides To Legislate Choice Of Law Provisions In "Business Contracts"
    The North Carolina General Assembly has decided to legislate choice of law in commercial transactions.  The new statute, enacted in June, is called the "North Carolina Choice of Law and Forum in Business Contracts Act." It will…
Rank this Week: 4157

RIA Compliance Blog

RIA Compliance Blog

Covers registered investment advisor regulations. By Parker MacIntyre.

http://www.riacomplianceblog.com/
  • Oct 12

    FINRA Publishes Notice to Arbitrators and Parties Regarding Expungement Procedure

    FINRA Publishes Notice to Arbitrators and Parties Regarding Expungement Procedure
    In September 2017, the Financial Industry Regulatory Authority updated a previously published Notice related to FINRA Rules 12805 and 13805, which “establish procedures that arbitrators must follow before recommending expungement of…
  • Sep 12

    DOL Proposes Additional Extension of Fiduciary Rule Transition Period

    DOL Proposes Additional Extension of Fiduciary Rule Transition Period
    The Department of Labor (DOL) recently published its proposal to extend the transition period of the Fiduciary Rule and delay the second phase of implementation from January 1, 2018 to July 1, 2019. Currently only adherence to the impartial…
  • Sep 6

    SEC Settles Charges with Investment Adviser Over Insufficient Disclosure of Fee

    SEC Settles Charges with Investment Adviser Over Insufficient Disclosure of Fee
    On August 14, 2017, the Securities and Exchange Commission (“SEC”) issued an Order Instituting Administrative and Cease and Desist Proceedings (“Order”) against Coachman Energy Partners, LLC (“Coachman”),…
Rank this Week: 2673

Payment Law Advisor

Payment Law Advisor

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

http://www.paymentlawadvisor.com/
  • Oct 11

    The Latest Survey of UDAAP Activitie

    The Latest Survey of UDAAP Activitie
    DWT Payments team member Adam Maarec, along with Christopher R. Rahl, a member of Gordon Feinblatt’s Financial Services Practice Group, recently published an updated survey of activities identified by the Dodd-Frank Act as unfair,…
  • Oct 2

    CFPB’s First No-Action Letter: Supporting Innovation AND Supervision for Fair Lending

    CFPB’s First No-Action Letter: Supporting Innovation AND Supervision for Fair Lending
    The Consumer Financial Protection Bureau (the “Bureau”) issued its first no-action letter (“NAL”) to Upstart Network, Inc. (“Upstart”), a marketplace lender that sought to clarify that its automated model…
  • Jul 21

    Regulatory Alert: Debt Collection

    Regulatory Alert: Debt Collection
    Among the announcements in its Spring 2017 rulemaking agenda, which was just released on July 20, the Consumer Financial Protection Bureau (CFPB) announced that later this year it plans to issue a Notice of Proposed Rulemaking (NPRM)…
Rank this Week: 2634

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
Rank this Week: 67

Walinski & Associates, P.C. Blog

Walinski & Associates, P.C. Blog

Covers debt collection.

http://www.walinskilaw.com/chicago-collections-lawyer
  • Oct 6

    New Regulations Target Payday Loan Industry

    New Regulations Target Payday Loan Industry
    The Consumer Financial Protection Bureau has created new regulations meant to protect borrows against risky short-term and long-term loans with balloon payments. Commonly known as payday loans and vehicle title loans, these types of loans are…
  • Sep 25

    Successor Liability Can Hold Companies Accountable for Debt

    Successor Liability Can Hold Companies Accountable for Debt
    A company that has extensive debts has many means by which it can attempt to avoid its creditors. One such way is when a second company purchases the debtor company and its assets. The debtor company often no longer has its own assets…
  • Sep 8

    Using Citation to Discover Assets with Debtor

    Using Citation to Discover Assets with Debtor
    Creditors who take legal action against uncooperative debtors can view their debt retrieval as happening in two overarching stages. The first stage is receiving a court judgment that quantifies the monetary amount that the debtor owes…
Rank this Week: 1899

Financial Industry Review

Financial Industry Review

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

http://blogs.orrick.com/financial/
  • Oct 2

    ESMA Comments on MiFID II Implementation and Brexit

    ESMA Comments on MiFID II Implementation and Brexit
      On September 29, 2017, Reuters.com reported on comments by Stephen Maijoor, ESMA Chair, on the implementation of MiFID II and Brexit. Mr. Maijoor believes that while implementation of the new rules under the MiFID II Directive…
  • Oct 2

    ESMA Consults on Draft Guidelines on Non–Significant Benchmarks Under Benchmarks Regulation

    ESMA Consults on Draft Guidelines on Non–Significant Benchmarks Under Benchmarks Regulation
      On September 29, 2017, ESMA published a consultation paper on draft guidelines for non-significant benchmarks under the Regulation on indices used as benchmarks in financial instruments and financial contracts or to measure the…
  • Oct 2

    ECON Draft Reports on Proposed BRRD II Directive and SRM II Regulation

    ECON Draft Reports on Proposed BRRD II Directive and SRM II Regulation
      On September 29, 2017, the European Parliament’s Economic and Monetary Affairs Committee (“ECON“) published two draft reports relating to the European Commission’s proposed revisions to the Bank Recovery and…
Rank this Week: 415

Consumer Finance Law Ledger

Consumer Finance Law Ledger

By Fox Rothschild LLP.

https://consumerfinance.foxrothschild.com/
  • Sep 29

    Don’t Wait Until It’s Too Late: Statute of Limitations for Negligent Appraisal Runs From Date of Closing

    Don’t Wait Until It’s Too Late: Statute of Limitations for Negligent Appraisal Runs From Date of Closing
    When making a loan secured by a mortgage on residential real property, lenders typically order an appraisal and rely upon the value provided by that appraisal. How quickly must a lender sue an appraiser if the appraisal was negligently…
  • Sep 1

    The CFPB Takes Action To Ban Credit Repair Company

    The CFPB Takes Action To Ban Credit Repair Company
    On August 30, 2017, the Consumer Financial Protection Bureau (CFPB) and Prime Marketing Holdings L.L.C. filed their proposed stipulated final judgment and order in United States District Court, the Central District of California to resolve a…
  • Sep 1

    Implications of the CFPB’s Arbitration Rule

    Implications of the CFPB’s Arbitration Rule
    On July 10, 2017, the Consumer Financial Protection Bureau issued its arbitration agreements rule which implemented Section 1028(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act.  The rule will become effective…
Rank this Week: 454

Illinois Business Law Journal

Illinois Business Law Journal

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

https://publish.illinois.edu/illinoisblj/
Rank this Week: 218

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/
  • Sep 26

    Financial Institutions...In the New

    Financial Institutions...In the New
    Equifax troubles continue as customers were lead to fictitious site.  (Maine Public 9.22.2017) Social Security Numbers are under scrutiny as a way to identify individuals.  (BDN 9.21.2017) Foreclosures in hurricane hit disaster…
  • Sep 12

    Financial Institutions . . . In the New

    Financial Institutions . . . In the New
    High flood insurance premiums endanger waterfront investments.  (PPH 9.9.17) Data breach at Equifax puts 143 million people across the United States at risk of identity theft.  (Central Maine 9.8.17) Governor LePage supports a…
  • Aug 9

    Financial Institutions . . . In the New

    Financial Institutions . . . In the New
    Elizabeth Hayes, President and CEO of Infinity Federal Credit Union, was recently named one of the Women to Watch in 2017.  (Mainebiz 8.7.17) LEAF Commercial Capital, Inc. is acquired by People’s United Bank.  (PR Newswire…
Rank this Week: 2832

Strictly Business

Strictly Business

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

http://www.strictlybusinesslawblog.com/
  • Sep 21

    3(c)(1) Funds vs. 3(c)(7) Fund

    3(c)(1) Funds vs. 3(c)(7) Fund
    The process of starting a new hedge fund or private equity fund involves choosing whether the fund will be structured as a “3(c)(1) fund” or a “3(c)(7) fund.” Many new fund managers are confused by the difference…
  • Aug 29

    Can Initial Coin Offerings Be Regulated As Securities? The SEC Says Yes.

    Can Initial Coin Offerings Be Regulated As Securities? The SEC Says Yes.
    Recently, there has been a lot of buzz involving so-called “Initial Coin Offerings” (ICOs), which are crowdfunded offerings powered by distributed ledger technology (a.k.a. “the blockchain”), which is also the…
  • Aug 17

    Accredited Investors vs. Qualified Clients vs. Qualified Purchasers: Understanding Investor Qualification

    Accredited Investors vs. Qualified Clients vs. Qualified Purchasers: Understanding Investor Qualification
    Private funds, such has hedge funds, private equity funds, and venture capital funds, are governed by a host of intersecting federal laws that impact who can invest in these fund, including the Securities Act of 1933, the Securities Exchange…
Rank this Week: 983

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
  • Sep 21

    Non-Traded REITs Causing Problems for SII Investment

    Non-Traded REITs Causing Problems for SII Investment
    Earlier today, the Massachusetts Securities Division filed an administrative complaint against SII Investments for violating securities laws with respect to its sale of Real Estate Investment Trusts (REITs) and its failure to supervise…
  • Jan 14

    When is “Rate of Return” not the Real Rate of Return?

    When is “Rate of Return” not the Real Rate of Return?
    Investors need to be careful when they review and rely on performance reports provided by their stockbroker or financial advisor.  I recently reviewed a performance report that was provided to an investor by a major warehouse brokerage…
  • Apr 8

    FINRA BrokerCheck: Beware the … Blue … Flags?

    FINRA BrokerCheck: Beware the … Blue … Flags?
    FINRA recently underwent some changes to its BrokerCheck website.  For those that do not know, BrokerCheck is the online repository in which the Financial Industry Regulatory Authority (FINRA) discloses certain information about stock…
Rank this Week: 537

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
  • Sep 15

    The Securities and Futures Commission of Hong Kong comments on ICO

    The Securities and Futures Commission of Hong Kong comments on ICO
    Article prepared by and republished courtesy of our colleagues Luke Gannon, Scott Thiel and Hayden Lau; originally published here: https://www.dlapiper.com/en/us/insights/publications/2016/11/the-trump-tax-reform-plan The Securities and…
  • Jul 26

    SEC Report on Tokens as Securities: Seven Takeaway

    SEC Report on Tokens as Securities: Seven Takeaway
    One of the more interesting phenomena in early-stage investing is the recent emergence of initial coin offerings (“ICOs”), token generation events (“TGEs”), or similar distributed ledger or blockchain-enabled means for…
  • Jun 7

    Getting up to speed on blockchain, Bitcoin, Ethereum, cryptocurrencies and ICO

    Getting up to speed on blockchain, Bitcoin, Ethereum, cryptocurrencies and ICO
    Much has been written recently on blockchain, Bitcoin, Ethereum, cryptocurrencies and initial coin offerings (ICO). Unfortunately, for non-computer scientists (like me), trying to understand these concepts and their potential implications can…
Rank this Week: 3643

Lenders 360

Lenders 360

Provides news, information and commentary on important issues affecting the financial services industry. By Higier Allen & Lautin, P.C.

http://www.lenders360blog.com/
  • Sep 10

    FDIC Administrative Law Judges Likely Unconstitutional

    FDIC Administrative Law Judges Likely Unconstitutional
    An appeals court holding, and pending U.S. Supreme Court case, could up-end FDIC enforcement procedures.  One of the interesting recent themes in Game of Thrones is the basis for power.  In these United States, the power of judges…
  • Sep 10

    FDIC Administrative Law Judges Likely Unconstitutional

    FDIC Administrative Law Judges Likely Unconstitutional
    An appeals court holding, and pending U.S. Supreme Court case, could up-end FDIC enforcement procedures.  One of the interesting recent themes in Game of Thrones is the basis for power.  In these United States, the power of judges…
  • Jul 17

    Bitcoin: Everyone is Talking Blockchain and its Not too Late to Get on the Band Wagon

    Bitcoin: Everyone is Talking Blockchain and its Not too Late to Get on the Band Wagon
    Bitcoin first came into public existence in 2008 with the first coins “mined” by a person/group named Satoshi Nakamoto.  As you are probably aware, Bitcoin is a method of transferring value electronically and without the need…
Rank this Week: 1759

Lenders 360.

Lenders 360.

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

http://www.lenders360blog.com
  • Sep 10

    FDIC Administrative Law Judges Likely Unconstitutional

    FDIC Administrative Law Judges Likely Unconstitutional
    An appeals court holding, and pending U.S. Supreme Court case, could up-end FDIC enforcement procedures.  One of the interesting recent themes in Game of Thrones is the basis for power.  In these United States, the power of judges…
  • Sep 10

    FDIC Administrative Law Judges Likely Unconstitutional

    FDIC Administrative Law Judges Likely Unconstitutional
    An appeals court holding, and pending U.S. Supreme Court case, could up-end FDIC enforcement procedures.  One of the interesting recent themes in Game of Thrones is the basis for power.  In these United States, the power of judges…
  • Jul 17

    Bitcoin: Everyone is Talking Blockchain and its Not too Late to Get on the Band Wagon

    Bitcoin: Everyone is Talking Blockchain and its Not too Late to Get on the Band Wagon
    Bitcoin first came into public existence in 2008 with the first coins “mined” by a person/group named Satoshi Nakamoto.  As you are probably aware, Bitcoin is a method of transferring value electronically and without the need…
Rank this Week: 3619

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/
  • Sep 8

    What You Should Do Today In Response To The Equifax Breach

    What You Should Do Today In Response To The Equifax Breach
    You've probably heard that Equifax revealed on Thursday that it was the subject of a data security breach that resulted in the exposure of 143 million Americans--almost half the population.  It is likely the largest data security breach…
  • Jul 27

    Reflections on a Rewarding Year with the NCBA YLD

    Reflections on a Rewarding Year with the NCBA YLD
    I'm no longer a young lawyer.A few days ago, I handed over an enormous gavel, signifying the end of my term as leader of the more than 6,400 members of the Young Lawyers Division of the North Carolina Bar Association. It has been an…
  • Jul 27

    It's Time for a Change

    It's Time for a Change
    Over the past six years, I have really enjoyed sharing thoughts with you on this blog and participating in some of the conversations that have arisen from the posts.Having recently departed private practice to work as in-house counsel, my…
Rank this Week: 3467

Mandelman Matters

Mandelman Matters

Covers the foreclosure crisis. By Martin Andelman.

http://mandelman.ml-implode.com
Rank this Week: 210

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
Rank this Week: 3608

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

https://10b5daily.com/
  • Aug 21

    On Track Betting

    On Track Betting
    Is “on track” the most dangerous phrase a corporation can use to describe its business? Over the years, there have been a significant number of securities class actions alleging a company’s statement that a regulatory…
  • Jul 20

    Top 100 Settlement

    Top 100 Settlement
    With the dog days of summer comes the issuance of statistical reports on securities class actions.  ISS Securities Class Actions puts out an interesting report, now updated through 2016, on “The Top 100 U.S. Settlements…
  • Jun 28

    CalPERS Decided

    CalPERS Decided
    The U.S. Supreme Court has issued a decision in the CalPERS v. ANZ Securities case holding that the three-year statute of repose for Section 11 and Section 12(a) claims (misrepresentation in a registration statement or…
Rank this Week: 1160

NextGen Financial Services Report

NextGen Financial Services Report

By Dykema. Provides news and analysis of legal issues affecting the financial services industry.

http://www.nextgenfinancialservicesreport.com/
  • Aug 21

    New CFPB Online Inquiry Form Offers New Way to Ask Regulatory Question

    New CFPB Online Inquiry Form Offers New Way to Ask Regulatory Question
    The Consumer Financial Protection Bureau (CFPB)’s Office of Regulations has long offered the public the opportunity to ask the agency questions about specific regulatory provisions and receive informal feedback from CFPB attorneys,…
  • Aug 16

    Outside Bank Directors Take Note: Could Regulators’ Expectations Be Changing (Again)?

    Outside Bank Directors Take Note: Could Regulators’ Expectations Be Changing (Again)?
    Last week, the Federal Reserve issued proposed guidance that could dial back some regulatory expectations for directors of financial institutions. The proposed guidance, applicable to Fed-supervised entities like bank holding companies and…
  • Aug 14

    2017 Texas Legislative Recap of New Laws Affecting Financial Institutions Operating in Texa

    2017 Texas Legislative Recap of New Laws Affecting Financial Institutions Operating in Texa
    Every other year, the Texas Legislature convenes for roughly six months in Austin. Given the tight timeframe and biennial nature, sessions of the Texas Legislature tend to be “fast and furious” (and also full of drama). There were…
Rank this Week: 2063

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: 203

Mortgage Crisis & Financial…

Mortgage Crisis & Financial Services Watch

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

http://www.financialserviceswatchblog.com/
  • Jun 2

    You Are the Target: 75 Different Ways Your Company Can Be Hacked

    You Are the Target: 75 Different Ways Your Company Can Be Hacked
    Join us on Thursday, June 15th from 12:00PM to 1:00PM for an in-depth webinar as Philip R. Stein, a partner in Bilzin Sumberg’s Litigation Practice, and Ray Vasquez, a director in Enterprise Risk Management’s…
  • May 23

    New Wave of Lehman Litigation Appears to Be Imminent

    New Wave of Lehman Litigation Appears to Be Imminent
    Thousands of mortgage lenders across the country either recently received, or will soon be receiving, this document from Lehman Brothers Holdings, Inc. (LBHI). It is a notice of a motion to approve a proposed settlement of Residential…
  • May 1

    Supreme Court Ruling Permits City Lawsuits Against Banks Under FHA to Proceed

    Supreme Court Ruling Permits City Lawsuits Against Banks Under FHA to Proceed
    The U.S. Supreme Court ruled today, in Bank of America Corp. v. City of Miami, Case No. 15-1111 that cities may qualify as “aggrieved persons” under the Fair Housing Act (“FHA”), thus placing them within the…
Rank this Week: 3638

Al-Mirsal

Al-Mirsal

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

http://www.al-mirsal.com/
Rank this Week: 3635

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/
  • May 15

    CLE Webinar About ERISA and Hedge Funds and Private Equity Fund

    CLE Webinar About ERISA and Hedge Funds and Private Equity Fund
  • Apr 25

    Investment Fraud and the Role of Trust

    Investment Fraud and the Role of Trust
    This article entitled “Investment Fraud and the Role of Trust” by Dr. Susan Mangiero was originally published on April 19, 2017 in The Fraud Examiner, a publication of the Association of Certified Fraud Examiners that is…
  • Apr 9

    Funny Courtroom Film Still Used For Teaching

    Funny Courtroom Film Still Used For Teaching
    I had a chance to watch My Cousin Vinny on television the other night and was reminded how humor is such a powerful storytelling tool. How many times do we remember important concepts because the speaker or writer makes us laugh? Tickling our…
Rank this Week: 3051

BeyondVC

BeyondVC

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

http://www.beyondvc.com/
  • Apr 23

    Blurring lines in enterprise SaaS; the race to own customer data

    Blurring lines in enterprise SaaS; the race to own customer data
    I’ve written before about the competitive nature of SaaS and the amount of entrants in every category. Lately after every conversation, I feel like the world is being divided into two camps and there is a massive battle going on in…
  • Mar 29

    Why I love and fear AWS

    Why I love and fear AWS
    The AWS launch of Amazon Connect (see techcrunch article) got me thinking about the current state of play in SaaS. Amazon Connect is a call center in a box, the same tech it uses in-house for their current platform. With that release,…
  • Mar 21

    Thoughts from Mulesoft and AppDynamics IPO Filing

    Thoughts from Mulesoft and AppDynamics IPO Filing
    I finally had a chance to take a quick read of the respective S1 filings for AppDynamics and Mulesoft. While the growth for each company is quite amazing, two thoughts jumped out at me. As we move to a cloud-only world with instant-on…
Rank this Week: 1116

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Apr 17

    REPRESENTING ELDERS AND ATHLETES

    REPRESENTING ELDERS AND ATHLETES
    It wouldn’t seem likely that elders and athletes would have much, if anything, in common.  But they do.  They are frequently blessed with substantial semi-liquid assets, and are therefore the targets of fraudulent or reckless…
  • Mar 24

    Kokesh v. SEC: Implications for the Statute of Limitations for Missouri Securities Enforcement Action

    Kokesh v. SEC: Implications for the Statute of Limitations for Missouri Securities Enforcement Action
     Kokesh v. SEC, Docket No. 16-529 (oral argument date April 18, 2017) – Implications for the Statute of Limitations for Missouri State Securities Enforcement Actions.By John R. Phillips, Counsel for Cosgrove Law Group, LLC and…
  • Feb 24

    Get Your Own Lawyer, Darn It!

    Get Your Own Lawyer, Darn It!
    Financial advisors facing an arbitration claim or regulatory inquiry often count on their broker-dealer or registered investment advisor for legal counsel. These “employers” will frequently provide them with an ostensibly…
Rank this Week: 302

RESPA Lawyer Blog

RESPA Lawyer Blog

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

http://www.respalawyer.com/
Rank this Week: 3783

Private Funds Law Update

Private Funds Law Update

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

http://www.privatefundslaw.com/
  • Mar 14

    10 takeaway points on Luxembourg’s RAIF

    10 takeaway points on Luxembourg’s RAIF
    The Luxembourg law on reserved alternative investment funds (RAIF) is a welcome addition to the alternative investment funds (AIF) industry and we have seen keen interest from the fund and asset management industry in this new platform. Since…
  • Aug 9

    ESMA Advice Extending the AIFMD Passport: Including the United States, Hong Kong, Singapore and Switzerland

    ESMA Advice Extending the AIFMD Passport: Including the United States, Hong Kong, Singapore and Switzerland
    On 18 July 2016 the European Securities and Markets Authority (ESMA) published its advice to the European Parliament, the Council and the Commission on the application of the Alternative Investment Fund Managers Directive (AIFMD) passport to…
  • Aug 9

    The SBEEA: Register of Significant Beneficial Ownership

    The SBEEA: Register of Significant Beneficial Ownership
    The SBEEA (Part I: People with Significant Control) Against the backdrop of an increasing push for greater transparency of company ownership, the Small Business Enterprise and Employment Act 2015 (“SBEEA“) took effect on 6 April…
Rank this Week: 3577

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Feb 13

    For Galemmo Ponzi Victims, Recovery Chances Depend On Clawback

    For Galemmo Ponzi Victims, Recovery Chances Depend On Clawback
    When a Cincinnati money manager's $100 million Ponzi scheme collapsed over three years ago, authorities seemingly acknowledged the bleak prospects of recovery in declining to seek appointment of a receiver to marshal and gather assets for…
  • Feb 13

    Zeek Rewards Mastermind Sentenced To Nearly Fifteen Years In Prison

    Zeek Rewards Mastermind Sentenced To Nearly Fifteen Years In Prison
    The North Carolina man who drew comparisons to Bernard Madoff for his operation of a Ponzi scheme that duped tens of thousands of victims out of nearly $1 billion learned from a federal judge today that he, like Madoff, will likely spendthe…
  • Oct 17

    Another Cay Clubs Principal Indicted On Bank Fraud And Tax Charge

    Another Cay Clubs Principal Indicted On Bank Fraud And Tax Charge
    A Florida man is facing bank fraud and tax charges for his involvement in the alleged $300 million Cay Clubs Ponzi scheme, making him the third person to be criminally charged in what was one of the largest schemes in Florida history.…
Rank this Week: 404

Financial Law Blog

Financial Law Blog

Updates on Banking Law, Investment Management Law, Securities Law, and Commodities/Derivatives Law. By Valentin Agafonov.

http://www.finlawblog.com
Rank this Week: 1993

Sharesleuth.com

Sharesleuth.com

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

http://sharesleuth.com/
Rank this Week: 1159

Securities Fraud Attorney Blog

Securities Fraud Attorney Blog

Covers securities fraud, and other areas of securities law and banking and finance law. By Rich, Intelisano & Katz, LLP.

http://www.securitiesfraudattorneyblog.com/
  • Oct 27

    Private Share Litigation Cases are Challenging

    Private Share Litigation Cases are Challenging
    In a very high profile private share litigation, Theranos, a privately held health-technology and medical-laboratory-services company worth $9 billion as of 2014, has been sued this Monday by one of its largest and trusted financial backers,…
  • Jun 19

    Split Decision on Arbitration in Bank of America Case

    Split Decision on Arbitration in Bank of America Case
    This week, a Florida appeals court partially reversed a ruling denying Bank of America’s efforts to arbitrate various claims related to the Scott Rothstein Ponzi scheme. Bank of America, N.A. v. Beverly, Nos. 4D14-3167, 4D14-3168 (Fla.…
  • Jun 19

    Split Decision on Arbitration in Bank of America Case

    Split Decision on Arbitration in Bank of America Case
    This week, a Florida appeals court partially reversed a ruling denying Bank of America’s efforts to arbitrate various claims related to the Scott Rothstein Ponzi scheme. Bank of America, N.A. v. Beverly, Nos. 4D14-3167, 4D14-3168 (Fla.…
Rank this Week: 1353

The Swap Report

The Swap Report

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

http://www.theswapreport.com/
Rank this Week: 3594