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26 Oct 2011, 1:08 am
The Supreme Court has published its decision in the case of AXA General Insurance Limited and others v The Lord Advocate and Others [2011] UKSC 46 in which AXA and other insurers (the Insurers) appealed against the decision of the Inner House of the Court of Session regarding the legality of the Damages (Asbestos-Related Conditions) (Scotland) Act 2009 (the 2009 Act) (please see our previous blog here for further information on that decision).The 2009 Act was passed to reverse the decision of the… [read post]
25 Oct 2011, 9:51 am
Perhaps in response to large scale fraud of the kind surrounding the private placements of companies like Provident Royalties LLC, on Oct. 5, the Financial Industry Regulatory Authority, or FINRA, filed a new rule proposal with the Securities and Exchange Commission, or SEC. [read post]
21 Oct 2011, 6:07 am
The Holyrood Parliament passed a 2009 Act which reversed Rothwell. [read post]
21 Oct 2011, 6:07 am
The Holyrood Parliament passed a 2009 Act which reversed Rothwell. [read post]
13 Oct 2011, 12:37 pm
Linck, Rothwell, Figg, Ernst & Manbeck, Washington, D.C. [read post]
13 Oct 2011, 6:26 am
The Holyrood Parliament passed a 2009 Act which reversed Rothwell. [read post]
13 Oct 2011, 4:31 am
FINRA Re-Proposes to Require Filing of Private Placements From Suzanne Rothwell: As part of FINRA's continuing focus on sales by FINRA members of private placements, FINRA recently filed a proposal with the SEC to adopt new Rule 5123 that would require the filing of any private placement - in which a FINRA member or associated person participates - subject to certain exemptions, and require disclosure of the use of proceeds, offering expenses and offering compensation. [read post]
22 Sep 2011, 3:05 am
New FINRA Guidance: Corporate Actions Can Lead to Underwriter Problems From Suzanne Rothwell: A few weeks ago, FINRA published Regulatory Notice 11-41 warning broker-dealers that their regulator will closely scrutinize the research issued by an underwriter for compliance with FINRA and SEC research analyst regulations when an issuer has made advance public statements explicitly or implicitly indicating that participation in the issuer's anticipated public offering is conditioned on… [read post]
12 Sep 2011, 3:13 pm
Education, Demand, and Unemployment in Metropolitan America - Jonathan Rothwell and Alan Berube "Inadequate demand and inadequate education, relative to... [read post]
30 Aug 2011, 4:17 am
From Suzanne Rothwell: Recently, FINRA issued updated guidance to broker/dealer firms on social networking websites in Regulatory Notice 11-39. [read post]
9 Aug 2011, 2:46 am
From the ABA Annual Meeting: FINRA Corporate Financing Update Here's a briefing, thanks to Suzanne Rothwell: Yesterday, Joseph Price, Senior Vice President, FINRA's Corporate Financing/Advertising Regulation, briefed the ABA Subcommittee on FINRA Corporate Financing Rules on current rulemaking and matters related to the Corporate Financing Department's review of public offerings. [read post]
26 Jul 2011, 4:26 pm
Dear Readers:The following case is quite instructional. [read post]
24 Jul 2011, 2:38 pm
Rothwell (1995) 10 Cal.4th 1226, 1235; see also Nguyen v. [read post]
15 Jul 2011, 7:54 am
” Danya Ariel Dayson: Nominee for the Superior Court of the District of Columbia Danya Ariel Dayson is an attorney with the firm of O’Toole, Rothwell, Nassau & Steinbach where her practice includes litigation in both state and federal courts. [read post]
12 Jul 2011, 6:38 am
Danya Dayson, an associate at Washington’s O’Toole, Rothwell, Nassau & Steinbach since 2003, was nominated to fill retired Judge Stephanie Duncan-Peters’ position. [read post]
11 Jul 2011, 3:43 am
Kudos to FINRA for Strengthening Revolving Door Rules From Suzanne Rothwell: Recently, FINRA submitted a rule filing to the SEC that amends its Code of Procedure to prohibit a former officer of FINRA for a period of one year after termination of FINRA employment from appearing on behalf of a client before any FINRA hearing related forum or testifying as an expert witness in a FINRA forum. [read post]
28 Jun 2011, 3:53 am
Rothwell from the ANU also explores the issues. [read post]
27 Jun 2011, 4:31 am
" Purchasing from a Public Offering: Don't Forget the SEC's Credit Limitations Here's a tidbit from Suzanne Rothwell: With broker-dealers and their bank affiliates often extending loans to issuers, I am hearing about situations where an officer of an IPO issuer or other intended investor has asked one of the underwriters of the company's IPO to extend a loan in order to purchase securities from the IPO or an almost simultaneous private placement. [read post]
21 Jun 2011, 1:01 am
Ultimately they came before the House of Lords, who found in the employers’ favour: Rothwell v Chemical & Insulating Company Limited [2008] 1 AC 281. [read post]
17 Jun 2011, 3:43 am
Suzanne Rothwell notes that while private investors may be limited in their ability to recover directly from third parties, broker-dealers that distribute offerings later found to be fraudulent nonetheless remain vulnerable to an enforcement action by FINRA (as indicated in Regulatory Notice 10-22) for failure to comply with FINRA product suitability standards and, if the broker-dealer assisted in the preparation of the offering document, the FINRA advertising regulations. [read post]
