September 10, 2010 Supreme Court Limits Development of Single-Enterprise Doctrine
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August 25, 2010 Sweeping Economic Sanctions Against Iran: Now What?
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August 17, 2010 SEC Adopts New Part 2 of Form ADV
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July 28, 2010 SEC Proposes Substantial Changes In Mutual Fund Distribution Regulatory Scheme
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July 28, 2010 The “Data Security Act of 2010” Would Establish New Federal Data Breach Notification and Data Security Requirements, and Would Broadly Preempt State Law
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July 26, 2010 Key Provisions of The Dodd-Frank Act Broadly Implicate FCPA Compliance Issues, Reward Whistleblowing For Securities Law Violations, and Require Reports of Certain Foreign Payments
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July 23, 2010 The Wall Street Transparency and Accountability Act: Implications For Derivatives Markets Participants
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July 23, 2010 The Dodd-Frank Act Overhauls The Regulation of Private Fund Managers and Other Money Managers
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July 13, 2010 New U.S. Sanctions Law Targets Foreign Support For Iran’s Petroleum Industry
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2010/11 Data Security: Breach Notification
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July 9, 2010 SEC Adopts New Rule Designed to Deter Pay-To-Play Activities by Investment Advisers
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June 25, 2010 “Special Assessment” on Certain “Financial Companies That Manage Hedge Funds” to be Part of New Financial Reform Law
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June 23, 2010 German Authorities Issue Privacy Decision Clarifying Due Diligence That Must Be Conducted on Companies Using The Safe Harbor Framework to Transfer Personal Data to the United States
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June 10, 2010 Reminder: Certain Foreign Financial Account Reports For 2009 Are Due By June 30, 2010
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June 10, 2010 SEC Proposes Consolidated Audit Trail For Trading of Certain Equity Securities
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June 2010 United Kingdom Enacts Bribery Act 2010
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June 3, 2010 Congress Is on Track To Pass a Comprehensive Financial Services Regulatory Overhaul Bill In 2010 Resulting In Increased Regulation of Private Fund Managers
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May 27, 2010 New Merger Guidelines Could Increase Agency Enforcement Discretion
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May 20, 2010 Draft Federal Privacy Bill Would Dramatically Affect How a Wide Range of Companies Collect, Use, and Disclose Certain Information About Individuals, Both Online and Offline
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May 2010 Top Google Executives Found Criminally Liable For Privacy Violations
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April 22, 2010 SEC Proposes Large Trader Reporting System
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April 21, 2010 SEC, CFTC, FTC, and Other Financial Regulators Release Model Consumer Privacy Notice Online Form Builder
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April 19, 2010 United Kingdom Enacts Bribery Act 2010
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April 15, 2010 First Quarter of 2010 Shows Sharp Increase In FCPA Enforcement
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April 14, 2010 FINRA Fines Broker-Dealer For Its Failure To Protect Confidential Customer Information From Hackers
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April 2, 2010 Supreme Court Upholds Gartenberg Standard
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April 1, 2010 Supreme Court Emphasizes Role of Deference to Independent Directors in Mutual Fund Fee Litigation
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April 2010 SEC Adopts Money Market Fund Reforms
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March 23, 2010 Implications of Senator Dodd’s Financial Reform Proposal For Private Fund Managers and Other Money Managers
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March 18, 2010 SEC Adopts Short Sale Price Test
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March 12, 2010 First Circuit Rejects Primary Rule 10b-5 Liability for Underwriters
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March 2010 New Developments In Securities Litigation
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March 12, 2010 The First Circuit Rejects Primary Rule 10b-5 Liability For Underwriters
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March 4, 2010 Germany’s Highest Court Voids Data Retention Law on Privacy Grounds
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March 3, 2010 Treasury Department Announces Delay of Certain FBAR Requirements and Proposes New FBAR Regulations
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March 2, 2010 SEC Adopts Money Market Fund Reform Rules
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March 2, 2010 Top Google Executives Found Criminally Liable for Privacy Violations
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March 2010 Fraud Law Developments
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March 2010 SEC Announces Measures to Encourage Cooperation and Names Specialized Unit Chiefs
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February 24, 2010 SEC Adopts Short Sale Price Test
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February 22, 2010 New International List of 28 Countries With Deficient Anti-Money Laundering and Terrorist Financing Regimes Should Prompt Compliance Reviews
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February 18, 2010 Registered Funds Face New Disclosure Obligations Under Amended SEC Executive Compensation Disclosure Rules
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February 12, 2010 BAE Reaches Global Settlement With U.S. and U.K. Authorities, Agreeing To Pay $447 Million In Fines and Ending Five Years of Bribery Investigations
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February 10, 2010 New SEC Climate Change Disclosure Obligations For All Filers Effective Immediately
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February 5, 2010 U.S. Senate Hearing On Foreign Corruption May Result In New Anti-Money Laundering Rules For Some U.S. Businesses
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January 29, 2010 SEC Imposes First Sanctions for Violations of Amended Rule 105
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January 29, 2010 Reminder: Annual Update of Form ADV and Annual Requirement To Confirm Status of Investors Under The New Issue Rule
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January 28, 2010 SEC Updates Compliance and Disclosure Interpretations For Non-GAAP Financial Measures
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January 27, 2010 Further SEC Action on Market Structure Issues
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January 20, 2010 SEC Brings FCPA Charges Based On Extorted Payments
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January 14, 2010 SEC Announces Measures To Encourage Cooperation and Names Specialized Unit Chiefs
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January 11, 2010 SEC Adopts Amendments to The Advisers Act Custody Rule
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December 18, 2009 SEC Adopts Amendments to The Advisers Act Custody Rule
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November 25, 2009 SEC, CFTC, FTC, and Other Financial Regulators Amend Their GLBA Rules and Adopt Model Privacy Form
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November 25, 2009 Recent Developments In Government Investigations of Financial Fraud
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November 16, 2009 The Impact of New Iran Sanctions
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October 2009 The SEC’s Pay-To-Play Rule Proposal for Investment Advisers
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October 27, 2009 The House Financial Services Committee Approves a Bill to Require Many Advisers to Private Funds to Register With The Securities and Exchange Commission
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October 7, 2009 Key U.S. House of Representatives Committee Holds Hearing To Discuss Legislation That Would Require Registration For Certain U.S. And Non-U.S. Private Fund Managers
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September 24, 2009 “Just Vote No” Campaigns In Uncontested Director Elections —Renewed Vitality For The 2010 Proxy Season
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September 23, 2009 SEC Proposes to Ban Flash Trading
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September 23, 2009 Update: IRS Extends Deadline For Reporting Certain Offshore Accounts to October 15, 2009
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September 21, 2009 Recent Changes to the New York Power of Attorney Law
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September 3, 2009 NCLC Urges Supreme Court Not To Permit Litigation Explosion Concerning Mutual Fund Fees
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Fall 2009 Are Polymorphisms Like Thin Skulls?
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August 25, 2009 SEC Invokes Sarbanes-Oxley Clawback Provision Without Alleging Wrongdoing By Defendant
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August 24, 2009 Massachusetts Again Revises Its Data Security Regulations and Extends Compliance Deadline Until March 1, 2010
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August 21, 2009 Internal Revenue Service Issues Procedural Guidance in Tax Relief in Debt Restructurings
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August 20, 2009 Comment Period for Proposed Amendments to Regulation SHO Re-Opened
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August 14, 2009 Avery Dennison Settles FCPA Charges Related To Conduct In China, Indonesia, and Pakistan
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August 14, 2009 Update: FBAR Deadline Postponed To June 30, 2010 For Certain Accounts
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August 12, 2009 SEC Proposes New Rule Intended To Address Pay-To-Play Activities By Investment Advisers
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August 10, 2009 SEC Enforcement Director Robert Khuzami Addresses New Initiatives During His First 100 Days
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August 10, 2009 SEC Announces Settlement of Enforcement Actions Targeting “Naked” Short Sales
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August 10, 2009 Delaware Court of Chancery Refuses to Allow Private Equity Group to Deny Advancement and Indemnification Rights to Directors of Its Failed Portfolio Company
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August 4, 2009 Second Circuit Affirms Dismissal of Securities Fraud Claims Against Investment Adviser That Failed to Detect a Ponzi Scheme
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July 31, 2009 Implications of Proposed U.S. Financial Regulatory Reform for Non-U.S. Fund Managers
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July 29, 2009 SEC Ends Form SH Filing Requirement and Announces Increased Disclosure Concerning Short Sales
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July 21, 2009 Federal District Court In Mark Cuban Case Issues Decision on Misappropriation Theory of Insider Trading
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July 20, 2009 Investor Convicted On FCPA-Related Charges
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July 10, 2009 Discretionary Voting By Brokers Prohibited In Director Elections
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July 10, 2009 SEC Proposes New Money Market Fund Rules — Significant Areas of Uncertainty Remain
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July 8, 2009 SEC Issues Guidance On “Say-On-Pay” Vote For TARP Recipients
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July 6, 2009 Court Toughens Application of Rule 8 Pleading Standards for Civil Cases
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July 2009 Failed Financial Institution Litigation: Remember When
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June 26, 2009 Obama Administration’s Plan For Financial Regulation Reform
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June 25, 2009 Update: IRS Issues More Foreign Financial Account Guidance, Including Amnesty For Certain Late Filers Until September 23, 2009
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June 19, 2009 Update: Foreign Financial Account Reports and Non-U.S. Investment Funds
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June 19, 2009 SEC Updates Guidance On Executive Compensation Disclosure
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June 19, 2009 President Obama’s Plan for Harmonization of Broker-Dealer and Investment Adviser Regulation and Increased Federal Reserve Authority Over Clearing and Settlement Systems
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June 18, 2009 President Obama Announces Proposed New Oversight Requirements for Private Fund Managers
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June 16, 2009 SEC Finds Investment Adviser Overvalued Mortgage-Backed Securities and Engaged In Prohibited Cross-Trades
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June 11, 2009 Reminder: Foreign Financial Account Reports Are Due
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June 2009 Government Procurement of Software: Provident Policies for Ensuring the Greatest Possible Return on Investment in Troubled Economic Times
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May 27, 2009 SEC Proposes Changes To The Advisers Act Custody Rule To Increase Reliance On Auditors
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May 22, 2009 Current Efforts to Regulate the OTC Derivatives Market
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May 18, 2009 Supreme Court Toughens and Broadens Application of Heightened Pleadings Standards
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May 14, 2009 CalPERS, Nation’s Largest Public Pension Fund, Adopts New Policy On Placement Agents
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May 14, 2009 Maryland Prohibits Minimum Resale Price Maintenance -- Other Jurisdictions May Follow
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May 8, 2009 SEC Action Indicates Increased Enforcement Investigations Into Hedge Funds and Derivatives
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May 6, 2009 New York Pension Fund Scandal Widens; New York State Attorney General Creates Task Force of 36 State Attorneys General To Investigate Pension Fund Abuse
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April 17, 2009 Eighth Circuit Provides For A Revised Standard For Review of Mutual Fund Advisory Fees
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April 13, 2009 Proposed Legislation Would Repeal Insurers’ Antitrust Exemption
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April 9, 2009 Adapting Private Business To Climate Change
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April 9, 2009 SEC Requests Comment On New Short Selling Price Tests
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April 9, 2009 “Price-Squeeze” Claim Requires Antitrust Duty To Deal and Predatory Pricing
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April 2, 2009 EPA To Require Reporting of Greenhouse Gas Emissions
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March 2009 Climate Change Under the Existing Clean Air Act: Developments from 2008 and the Transition to a New Administration
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March 27, 2009 House Financial Services Committee Approves Alternative Executive Compensation Legislation; Demands Company-Specific TARP Documents
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March 24, 2009 Treasury Announces Public-Private Investment Program
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March 18, 2009 Southern District of New York Dismisses Securities Fraud Class Action Alleging Failure To Disclose Contingent Bankruptcy Planning
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March 4, 2009 President Obama Announces New Antitrust Leadership
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February 27, 2009 Antitrust Violation Results in Four Year Jail Sentence
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February 17, 2009 New Prospectus Disclosure Requirements; ICI Provides Additional Guidance on Use of Summary Prospectus
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February 13, 2009 Halliburton and KBR Entities To Pay $579 Million, The Largest Penalty Ever Paid By A U.S. Company In An FCPA Case
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February 13, 2009 Court Affirms That, With Safeguards, Competitors May Share Sensitive Due Diligence Information In Connection With A Proposed Merger
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February 6, 2009 SEC Issues Final Rules Mandating XBRL Filings
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February 3, 2009 Electronic Form D Mandatory On March 16, 2009
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February 3, 2009 Alleging Demand Futility In New York State Court Derivative Actions Arising From Stock Options Backdating
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February 2, 2009 Treasury Guidance Establishes Reporting Obligations and Clarifies Expanded Applicability of Executive Compensation Standards and Limitations Under TARP
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January 30, 2009 Bill Introduced in Senate to Subject Private Funds and Their Advisers to SEC Registration
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January 29, 2009 Second Circuit Issues Significant Securities Decision
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January 22, 2009 FINRA Proposes Expanding Prohibitions on Front Running of Block Transactions
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January 22, 2009 Reminder: Annual Update of Form ADV and Annual Requirement to Confirm Status of Investors Under the New Issue Rule
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January 21, 2009 FTC Increases HSR Thresholds and Penalty, and Section 8 Thresholds
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January 15, 2009 IRS Temporarily Allows Closed-End Funds To Limit The Amount of Cash They Are Required To Distribute
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January 14, 2009 Is There A Silver Lining In The Current Economic Recession?
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January 13, 2009 CPO Alert: National Futures Association Requires Certain CPO Members to Submit Information Regarding Pool Liquidations, Redemption Restrictions and Madoff-Related Investments
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January 12, 2009 New York State Imposes New Restrictions On Employers’ Use of Employee Personal Information
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January 9, 2009 SEC Grants Exemptions For Credit Default Swap Exchanges and Central Counterparty
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January 9, 2009 Impact of Hedge Fund Redemptions Under ERISA
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January 9, 2009 Directors’ Fiduciary Duty During the Credit Crunch
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January 7, 2009 Expansion of Web Domains Could Hurt Brands
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December/January 2009 SEC Enforcement: A Year in Preview
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December 19, 2008 Settlement of Section 16(b) Action Based Upon Equity Swap Positions
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December 19, 2008 NAIC Highlights — Winter 2008 National Meeting
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December 18, 2008 New York Governor Paterson Proposes To Tax Nonresident Partners on Carried Interest
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December 18, 2008 French Competition Council Provisionally Suspends Orange’s Exclusivity For iPhone
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December 17, 2008 The Madoff Scandal: Money Managers Should Prepare Now For Increased Scrutiny By Investors
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December 17, 2008 Credit Default Swaps in the Headlines: What Senior Management Needs to Know about How CDSs Work, and Recent Efforts to Regulate CDSs
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December 16, 2008 FINRA Guidance On Recent Amendments To FINRA Rules Relating to SEC Regulation M
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December 16, 2008 Supplemental Update: Siemens Agrees To Pay An Additional €395 Million To Settle Corruption Charges With German Authorities; Total Penalties Exceed $1.6 Billion
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December 15, 2008 Siemens Pleads Guilty To FCPA Charges, Including First Ever Criminal Internal Controls Violation, and Agrees To Pay a Record $800 Million In Penalties
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December 12, 2008 Directors’ Fiduciary Duties During The Credit Crunch: Three Recent Cases Involving Acquisitions of Financial Institutions
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December 2, 2008 Status Update On Treasury, Federal Reserve and FDIC Financial Market Initiatives
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December 1, 2008 Former Vetco International Subsidiary Aibel Group Ltd. Admits To Failing To Meet Obligations Under Deferred Prosecution Agreement and Agrees to Pay $4.2 Million Fine For Violating The Foreign Corrupt Practices Act
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November 26, 2008 Federal Reserve Board and Treasury Department Jointly Issue Rules To Prevent Unlawful Gambling By Regulating The Institutions That Perform The Related Financial Transactions
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November 26, 2008 New York’s Data Privacy Guide Offers Best Practice Tips For Protecting Personal Information and Preventing Identity Theft
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November 26, 2008 Recent SEC Decision Reminds Regulated Entities To Act Promptly and Take Special Care When Responding To SEC Requests
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November 24, 2008 House Agriculture Committee Reaffirms Preference For Commodity Futures Trading Commission As Overseer of Credit Default Swaps
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November 20, 2008 Investment Adviser Performance Advertising: SEC’s Division of Investment Management Issues New Letter Expanding the Ability of Advisers to use Analysis of Past Specific Recommendations in Advertisements
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November 19, 2008 Obama Administration Environmental and Energy Policies Will Focus First On “Clean Energy” and “Green Jobs”
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November 17, 2008 SEC Staff Publishes Its “Core Initial Request” For Investment Adviser Examinations
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November 14, 2008 Summary of Lehman’s Proposed Procedures For The Settlement or Assumption and Assignment of Prepetition Derivative Contracts
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November 7, 2008 Treasury Issues Notice To Financial Institutions Interested In Providing Asset Management Services For A Portfolio of Equity Securities, Debt Obligations, and Warrants Issued In Connection With The Emergency Economic Stabilization Act of 2008
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November 7, 2008 “Red Flag” Identity Theft Rules May Have You Seeing Red: FTC Extends Compliance Deadline Because Many Companies Did Not Know That These Rules Apply To Them
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November 3, 2008 Federal Circuit Raises The Bar For Business Method Patents
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November 3, 2008 Treasury Department Withdraws Proposed Anti-Money Laundering Rules For Unregistered Investment Companies, Investment Advisers, and Commodity Trading Advisors
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October 31, 2008 NASDAQ Modifies Delisting Rules For Delinquent Periodic Report Filers
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October 28, 2008 Congressional Hearings Explore Proposals For New or Modified Financial Regulation
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October 28, 2008 Court Decision Limits “Local Law Defense” Under The Foreign Corrupt Practices Act
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October 27, 2008 Second Circuit Issues Significant Decision Restricting Subject Matter Jurisdiction Over “Foreign-Cubed” Securities Class Action
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October 24, 2008 Data Privacy Update: Insight Into The Views of The Next President on Key Issues
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October 23, 2008 Failed Financial Institution Litigation: Remember When
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October 22, 2008 The Federal Reserve Board Establishes The Money Market Investor Funding Facility
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October 21, 2008 New Internal Revenue Code Section 457A May Apply to Compensation Plans of Portfolio Companies of Private Equity and Venture Capital Funds
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October 21, 2008 SEC Adopts Amendments To Rule 12g3-2(b) Exemption and Enhancements To Foreign Private Issuer Reporting Obligations
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October 21, 2008 Special Committees Must Be Fully Independent and Demonstrate a “Vigorous” Commitment To Protecting The Interests of The Corporation
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October 20, 2008 Treasury Issues Series of Notices Liberalizing Treatment of Net Operating Losses and Other Tax Attributes of Financial Institutions
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October 17, 2008 NASDAQ Issues Temporary Suspension of Minimum Bid Price and Market Value of Publicly Held Shares Continued Listing Requirements
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October 17, 2008 The Copyright Royalty Board Sets Music Royalty Rates and Congress Passes The Webcaster Settlement Act of 2008
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October 16, 2008 The SEC Adopts Amendments to Short Selling Rules
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October 16, 2008 Treasury, FDIC and Federal Reserve Announce Development of Additional Programs to Bolster Credit Markets
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October 10, 2008 Specialized or Smaller Firms May Find Business Opportunities In The Treasury Department’s Troubled Assets Relief Program
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October 10, 2008 Recent State Data Privacy Laws and Court Decisions Impose Extensive Obligations on Companies That Collect and Process Personal Information
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October 7, 2008 Loan Document Considerations In Connection With The Bankruptcy Filing of Lehman Commercial Paper Inc.
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October 6, 2008 Domestic Compensation Limitations Under The Emergency Economic Stabilization Act
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October 2, 2008 Treasury Department Creates Temporary Guarantee Program For Money Market Funds
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September 28, 2008 U.S. Bailout Plan Update
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September 26, 2008 Antitrust Storm Continues To Threaten Whole Foods Merger
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September 25, 2008 New York State Insurance Department To Regulate Certain Credit Default Swaps As Insurance
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September 25, 2008 Latest Status Report On The Bailout Plan
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September 25, 2008 Federal Reserve Issues Policy Statement Liberalizing The Restrictions On Minority Investments In Banks and Bank Holding Companies By Private Equity and Other Firms
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September 24, 2008 Update On U.S. Bailout Plan
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September 23, 2008 SEC Announces A “Sweeping Expansion” of Its Investigations of Possible Market Manipulation
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September 22, 2008 Competing Administration, Senate and House Versions of Proposed $700 Billion Government Bailout
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September 21, 2008 Summary, Status and Issues Surrounding The Proposed $700 Billion Government Bailout
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September 19, 2008 SEC Issues Additional Orders Regarding Short Selling
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September 18, 2008 SEC Issues Emergency Order and Announces Other Actions to Respond to Market Crisis
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September 16, 2008 Approaching Deadlines For Shareholder Initiatives
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September 15, 2008 Lehman Brothers Holdings and Certain of Its European Subsidiaries File For Bankruptcy Protection
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September 8, 2008 Certain Shelf Registration Statements to Expire in December
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September 5, 2008 Department of Justice Makes Significant Changes To Its Corporate Charging Guidelines
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September 2008 Trend Spotting: Recognizing The Growing Risk Of IP Litigation Facing OSS Developers And Implementers
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August 12, 2008 Treasury Issues Proposed Regulations Relating to Incentive Stock Option and Employee Stock Purchase Plan Information Reporting
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August 8, 2008 SEC Publishes Proposed Guidance For Fund Boards of Directors
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August 8, 2008 SEC Provides Guidance On The Use of Company Websites To Provide Information To Investors
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August 7, 2008 In Ryan V. Lyondell Chemical Company, The Delaware Chancery Court Reminds Directors That Sale of Control Transactions Require Robust Board Involvement
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August 6, 2008 Southern District of New York Bankruptcy Court Approves Payment of Under-Secured Lender’s Fees As Part of A Cash Collateral Stipulation
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July 22, 2008 SEC Updates Guidance On Executive Compensation Disclosure
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July 22, 2008 DOJ Releases FCPA Opinion on Promotional Expenses To Be Paid To Journalists of State-Owned Media Outlets
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July 21, 2008 SEC Issues Amendment To Emergency Order and Publishes Staff Guidance
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July 18, 2008 SEC Emergency Order On “Naked” Short Selling
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July 17, 2008 Funds of Hedge Funds: Internal Revenue Service Rules That Advisory Fees of A Fund of Hedge Funds Are Investment-Related Expenses Even If Lower-Tier Funds Are Trader Partnerships
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July 16, 2008 Administrative “Health Courts” for Medical Injury Claims: The Federal Constitutional Issues
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July 15, 2008 Proposed Amendments to Rule 15a-6 under the Securities Exchange Act of 1934 Exempting Certain Foreign Broker-Dealers from U.S. Registration Requirements
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July 15, 2008 SEC Announces Examinations Focusing on the Dissemination of False Information Intended to Manipulate Stock Prices
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July 15, 2008 NEXT Financial Group, Inc. Sanctioned By The SEC For Violating Regulation S-P
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July 11, 2008 Proposed Amendments To SEC Rules and Forms Referring To Credit Ratings Issued By Nationally Recognized Statistical Rating Organizations
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July 8, 2008 Whither 'Stoneridge v. Scientific-Atlanta'? Early Results
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June 27, 2008 Book-Entry Deposit Procedures for Certain Offerings by Non-U.S. Issuers under Section 3(c)(7) of the Investment Company Act
Additionally, please see an earlier article entitled New Developments in Procedures for Book-Entry Deposit of Rule 144A Securities by Certain Issuers Relying on Section 3(c)(7) of the Investment Company Act, dated March 2003, which was also co-authored by Barry Barbash.
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June 27, 2008 DOJ Releases Opinion Addressing Acquirers’ FCPA Liability for Conduct of Acquiree Where The Ability To Conduct Pre-Closing Due Diligence Is Restricted
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June 27, 2008 Delaware Chancery Court Limits Damages for Duty of Disclosure Claims; Dismisses Claims Against Directors for Breach of Fiduciary Duty
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June 23, 2008 Reminder: Foreign Account Filing Deadline Approaches
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June 20, 2008 FTC Issues New Rules Under the CAN-SPAM Act of 2003
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June 19, 2008 Beware: Legal Privilege Rules Differ Between the U.S. and the EU
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June 19, 2008 SEC Proposes Revisions to Rules Governing Cross-Border Tender Offers, Exchange Offers, Business Combinations and Rights Offerings
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June 19, 2008 SEC Proposes Mandatory XBRL Filings
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June 18, 2008 SEC Staff Issues No-Action Letter and IRS Issues Notice Relating To New Type of Closed-End Fund Preferred Stock
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June 17, 2008 U.S. Supreme Court Unanimously Reverses Federal Circuit In LG Electronics Case and Limits a Patent Holder’s Ability To Demand Downstream Royalties On The Use of a Product
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June 17, 2008 Delaware Bankruptcy Court Enters Orders Regarding Information Disclosure Requirements for Investment Managers
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June 13, 2008 Federal District Court Rejects SEC Staff Position Regarding Treatment of Swaps Under Section 13(D)
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June 12, 2008 NAIC Highlights – Summer 2008 National Meeting
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May - June 2008 Liability of Private Equity Fund Portfolio Company for ERISA Liabilities of Other Portfolio Companies
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June 9, 2008 Willbros Group Inc. Agrees to Pay $32 Million in Penalties, Disgorgement, and Prejudgment Interest for Violations of the Foreign Corrupt Practices Act
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June 3, 2008 Seventh Circuit Adopts New Standard for Judicial Review of Mutual Fund Advisory Fees
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June 2008 Caveat Emptor: The Threat to Value from Target Company Use of Open Source Software
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May 29, 2008 Delaware Chancery Court Upholds Amendments to Bylaws Denying Former Director Advancement Rights
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May 22, 2008 Court of Appeals Reverses FTC Decision In Rambus Standard-Setting Case and Holds That a Lawful Monopolist’s Use Of Deception to Obtain Higher Prices is not an Antitrust Violation
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May 21, 2008 SEC Expands Definition of Eligible Portfolio Company for BDCs
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May 16, 2008 House Bill Targets Offshore Deferred Compensation
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May 15, 2008 Pleading & Proving Loss Causation in § 10(b) Credit Crisis Cases
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May 2, 2008 Seventh Circuit, in a Case Of First Impression Under Stoneridge, Holds That Employee Who Participated in Fraudulent Scheme but Did Not Personally Prepare or Disseminate False Financial Statements is Shielded From Securities Fraud Liability
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May 2008 All OSS Developers Are Equal, But Some OSS Developers Are More Equal Than Others!
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May 1, 2008 D&O Alert
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April 30, 2008 Recent Developments In Bankruptcy Cases Affecting Landlords’ Lease Rejection Damages Claims
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April 28, 2008 Proposed Regulations Clarify and Expand U.S. Government Foreign Direct Investment Reviews
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April 21, 2008 Court of Appeals Approves Covert Coordination Between SEC and DOJ
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April 8, 2008 NAIC Highlights – Spring 2008 National Meeting
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April 3, 2008 SEC Proposes New Part 2 to Form ADV
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April 1, 2008 OCIE Outlines Examination Priorities
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March 28, 2008 SEC Proposes Amendments to Rule 12g3-2(B) Exemption and Enhancements to Foreign Private Issuer Reporting Obligations
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March 24, 2008 What Happens When a Broker-Dealer Fails? A Summary of Certain Key Bankruptcy Code and SIPA-Related Issues
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March 20, 2008 SEC Proposes “Naked” Short Selling Antifraud Rule
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March 18, 2008 SEC Proposes Amendments to Regulation S-P to Safeguard Customer Privacy
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March 17, 2008 Role of Monitors in Corporate Investigations and Prosecutions Update: New Justice Department Guidelines and Continuing Criticism
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February 28, 2008 Estate Planning Techniques In This Low Interest Rate Environment
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February 27, 2008 Solutia and Its Exit Lenders Settle With Exit Lenders Agreeing to Honor Funding Commitment
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February 27, 2008 New IRS Revenue Ruling Limits Deductibility of Certain Performance-Based Compensation
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February 26, 2008 WABTEC Settles FCPA Claims Related to Foreign Subsidiary’s Improper Payments
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February 15, 2008 SEC Proposes Disclosure Changes and New Filing Obligations For Investment Advisers
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February 15, 2008 FTC Requires Patentee to Fulfill Licensing Commitments to a Standard-Setting Organization to Prevent Consumer Harm
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February 12, 2008 Solutia Files Lawsuit Against Exit Lenders to Compel Them to Honor Funding Commitment
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February 11, 2008 States Signal Enforcement Agenda Against Minimum Resale Price Maintenance
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February 8, 2008 Bundled Discounts: Conflict Brewing in the Circuits
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February 6, 2008 FTC Revises HSR Thresholds
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February 5, 2008 Lucent Settles FCPA Claims Related to Travel and Entertainment Expenses
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February 2008 Choice in Government Software Procurement: A Winning Strategy
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February 2008 The Power Of Choice: Massachusetts Wisely Embraces Multiple Document Format Standards To Drive Greater Competition And Innovation
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January 29, 2008 Reminder: Annual Update of Form ADV and Annual Requirement to Confirm Status of Investors Under the New Issue Rule
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January 25, 2008 Congress and the Media Criticize Role of Monitors in Corporate Investigations and Prosecutions
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January 22, 2008 U.S. Supreme Court Rejects Argument that “Scheme Liability” Theory Still Applies to Financial Institutions and Professionals
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January 15, 2008 IRS Waives Certain Filing Obligations for 2007 Stock Transfers Relating to Incentive Stock Options and Employee Stock Purchase Plans
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January 14, 2008 SEC Adopts Rules Eliminating U.S. GAAP Reconciliations For Foreign Private Issuers Using IFRS
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January 9, 2008 Federal Court Again Rejects Justice Department Effort to Revoke Amnesty Granted in Antitrust Prosecution
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January 7, 2008 Federal District Courts Reject SEC Charges of Section 5 Violations for Short Selling of Pipe Shares
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December 20, 2007 Insurance Coverage for Subprime Mortgage Problems
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December 12, 2007 SEC Eases Requirements of Rules 144 And 145 Regarding Resales of Restricted and Control Securities
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December 4, 2007 SEC Proposes Amendments to Mutual Fund Disclosure and Prospectus Delivery Requirements
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November 26, 2007 Recent Proposed Legislation Refines Proposals To Tax-Carried Interest Earned By Managers Of Private Equity, Hedge Funds, Real Estate And Other Investment Funds At Ordinary Income Rates
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October 30, 2007 New York Requires Written Agreements for Commission Salespeople
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October 29, 2007 Section 409A Transition Relief Extended Through December 31, 2008
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October 24, 2007 The Securities and Exchange Commission Releases Report on Executive Compensation Disclosure – Things to Consider for the 2008 Proxy Season
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October 18, 2007 Major New Compliance Rule for Government Contractors
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October 3, 2007 Penalties for Violating U.S. Trade Sanctions are Dramatically Increased
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October 2, 2007 Seventh Circuit Emphasizes the Necessity for the Timely Selection of Each Party Arbitrator
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September 27, 2007 Business Methods That Depend Entirely on Mental Processes Are Not Patentable
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September 26, 2007 California Proposes to Revoke Its Exemption for Hedge Fund Advisers
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September 26, 2007 Bankruptcy Court Refuses to Rubber Stamp Relief Under Chapter 15 of the Bankruptcy Code
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September 25, 2007 SEC Adopts Temporary Rule Regarding Principal Trades and Proposes a Recodification of Interpretive Rule
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September 19, 2007 DOJ Releases Two Opinions On Hosting Foreign Officials Under the Foreign Corrupt Practices Act
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September 2007 GPL, Version 3: The Perils Of Ideological Extremism
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August 16, 2007 CFTC/NFA Regulatory Update
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August 14, 2007 SEC Adopts and Reproposes Amendments to Regulation SHO
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August 10, 2007 SEC Publishes Final Amendments to Rule 105 of Regulation M
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August 9, 2007 SEC Issues New Anti-Fraud Rule
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July 9, 2007 SEC Proposes Liberalization of Resales of Restricted Securities Under Rules 144 and 145
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June 22, 2007 SEC Holds Roundtable On Rule 12b-1
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June 21, 2007 SEC Adopts Amendments to Rule 105 of Regulation M
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June 15, 2007 SEC Holds Roundtable on Mutual Recognition
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June 15, 2007 Federal District Court of Maryland Holds that Serial Poison Pills and Voting Rights Limitations on Control Shareholders Do Not Violate The Investment Company Act Of 1940 When Adopted by a Closed-End Fund as Defensive Tactics Against a Hostile Tender Offer
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June 2007 GPL Version 3: Two Steps Back For Open Source Licensing, Interoperability, And Open Innovation?
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June 1, 2007 CPO/CTA Alert: NFA Issues Notice on Disclosure of Conflicts
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May 18, 2007 Wall Street Meets Main Street
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May 16, 2007 SEC, CFTC and Other Financial Regulators Propose Model Privacy Notices
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March 15, 2007 Client Alert: House Financial Services Committee Hearing on the Regulation of Hedge Funds
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February 28, 2007 CPO/CTA Alert: CFTC Adopts Amendments to Advertising Rule
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February 9, 2007 Update on Client Commission Arrangements
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February 6, 2007 Reminder: Annual Update of Form ADV and Annual Requirement to Confirm Status of Investors Under the New Issue Rule
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January 30, 2007 CPO/CTA Alert: Electronic Filing Requirements for CPO and CTA Notices
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January 26, 2007 SEC Staff Issues No-Action Position on New Client Commission Arrangements
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January 3, 2007 SEC Proposes New Anti-Fraud Rule Under the Investment Advisers Act Of 1940 and Higher “Accredited Investor” Standards for Natural Persons Who Invest in Private Funds
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December 15, 2006 SEC Proposes New Anti-Fraud Rule Under The Investment Advisers Act of 1940 and Amendments to the Private Fund “Accredited Investor” Standards
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December 14, 2006 The Securities And Exchange Commission Publishes Proposals to Tighten Prohibitions On Short Selling In Connection With A Public Offering and to Eliminate the “Tick Test”
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December 5, 2006 The Securities And Exchange Commission Approves Proposals To Repeal Price Tests On Short Sales And Amend Prohibitions On Short Selling In Connection With A Public Offering
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October 3, 2006 Commission Adopts Amendments to Rule 22c-2 (Mutual Fund Redemption Fee Rule)
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Fall 2006 Choice in Government Software Procurement: A Winning Strategy
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August 11, 2006 SEC Provides Relief Relating to the Vacated Hedge Fund Adviser REgistration Rule
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July 27, 2006 Client Alert: July 25, 2006 Senate Banking Committee Hearing on the Regulation of Hedge Funds
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July 24, 2006 Commission Publishes Interpretive Guidance and Seeks Additional Comments on "Soft Dollars" Safe Harbor
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June 27, 2006 D.C. Circuit Delays Effectiveness of its Decision in the Hedge Fund Adviser Registration Case
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June 23, 2006 U.S. Court of Appeals Overturns Hedge Fund Adviser Registration Rule
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June 16, 2006 SEC No-Action Letter Provides Guidance Under Section 206(3) of the Advisers Act on Cross Trades Between Client Accounts and Accounts Owned in Part by the Adviser
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June 13, 2006 Client Alert: Compliance Date Approaching for Rule 22c-2 (Mutual Fund Redemption Fee Rule)
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March 27, 2006 Regulators Continue to Focus on PIPE Transactions: SEC Files Enforcement Action Against Hedge Fund Manager and Three Hedge Funds for Engaging in Illegal Trading in Private Investment in Public Equity(PIPES)
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March 13, 2006 Commission Issues Proposed Amendments to its Voluntary Redemption Fee Rule
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January 2005 Interoperability,' not 'Interchangeability:' The Importance of a Proper Approach to Defining and Achieving 'Interoperability' to Enhance Competition, Innovation, and Consumer Choice in the Information Technology Marketplace
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