May 2, 2012 Second Circuit Issues Important Decision on Class Certification In MBS-Related Litigation
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May 2012 Financial Stability Oversight Council Releases Final Rule Regarding Designation Of Nonbank Financial Companies
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April 25, 2012 Federal Reserve Issues Guidance on Volcker Rule Conformance Period
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April 20, 2012 Recent Developments and Current Trends in Insurance Transactions and Regulation – April 2012
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April 20, 2012 SEC Rule 412 Precludes Claim Challenging Registration Statements Based on Superseded Statements In Incorporated Filings
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April 20, 2012 Imposition of Compliance Monitors In FCPA Settlements Is Down, But Recent Court Ruling Increases The Risk of Public Access To Monitor Reports
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April 18, 2012 JOBS Act Eliminates Restrictions On General Solicitation and General Advertising For Insurance-Linked Securities
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April 16, 2012 Altering The Leveraged Lending Landscape
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April 10, 2012 Internal Revenue Service Issues Guidance Allowing Partnerships To Provide Schedule K-1s To Partners Electronically
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April 9, 2012 New Reporting Obligations For Individuals Compensated By Foreign Entities
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April 9, 2012 Financial Stability Oversight Council Releases Final Rule Regarding Designation of Nonbank Financial Companies
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April 5, 2012 Will The CFTC Adopt A Family Office Exemption?
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April 4, 2012 Two District Courts Interpret Dukes To Require “Rigorous Analysis” In Antitrust Class Certification Decisions
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April 4, 2012 A Troubling Bank Balance – Competing Duties For Banks When Making Suspicious Activity Reports
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April 3, 2012 Financial and Trade Sanctions Briefing – Financial Institutions
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April 3, 2012 Bank Regulatory Agencies Issue Proposed Joint Guidance On Leveraged Lending
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April 3, 2012 JOBS Act Increases The Ability of Portfolio Companies, Start-Up Ventures and Small Businesses To Raise Capital and Access The Public Markets
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April 2, 2012 STOCK Act May Lead To Additional Insider Trading Enforcement Actions
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April 2012 New Swap Data Recordkeeping And Reporting Rules
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March 27, 2012 FDIC Clarifies Treatment of Contracts of Subsidiaries and Affiliates of Covered Companies Under The Dodd-Frank Act
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March 27, 2012 CFTC Proposes Harmonization Rules For Mutual Funds
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March 14, 2012 Reorganization And D&O: Not Always Business As Usual
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March 14, 2012 Internal Revenue Service Has Revised FBAR-Related Questions On U.S. Form 1040, Schedule B
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March 7, 2012 CFTC Adopts Final Business Conduct Standards For Swap Dealers & Major Swap Participants
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March 7, 2012 New Swap Data Recordkeeping and Reporting Rules
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March 6, 2012 Valuing The Invaluable
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February 24, 2012 CFTC Reinstates Restrictions on Registered Investment Companies
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February 24, 2012 Treasury Department Extends FBAR Deadline Until June 30, 2013 For Certain Filers
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February 22, 2012 SEC Amends Rule on Adviser Performance Fees
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February 18, 2012 Dutch Court Decision Impacts Global Securities Class Actions
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February 17, 2012 CFTC Adopts CPO and CTA Reporting Rules
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February 15, 2012 IRS Releases Proposed FATCA Regulations
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February 15, 2012 Challenges To The Validity of Delaware Forum Selection Bylaws Commence
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February 14, 2012 The European Commission Prohibits The Merger Between NYSE Euronext and Deutsche Börse
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February 13, 2012 Final DOL Regulations Require Compensation Disclosure By ERISA Service Providers
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February 13, 2012 CFTC Eliminates Registration Exemption Used By Many Hedge Fund Managers
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February 10, 2012 Supervisory Obligations of Broker-Dealer Legal and Compliance Personnel After The Urban Case
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February 8, 2012 Validity of Class Action Waivers in the Antitrust Context Post-Concepcion
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February 8, 2012 Morrison Held To Preclude Securities Act Claims
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February 3, 2012 Treasury Form SHC Applicable To Investment Managers, Broker-Dealers and Banks
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February 2012 Delaware Forum Selection Bylaws Under Attack
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February 2012 The SEC’S Division of Corporate Finance Provides Guidance on the Obligations of Public Companies to Disclose Cybersecurity Risks and Attacks
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February 2012 SEC Adopts Net Worth Standard For Accredited Investors Under Regulation D
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February 2012 District Court, Applying Janus Broadly, Rules Against The SEC in Securities Fraud Case
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February 2012 IRS Releases U.S. Form 8937 For Issuers Of Securities To Use For Reporting Corporate Actions Affecting Basis Under Section 6045B: Immediate Deadline
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January 27, 2012 FTC Revises HSR Thresholds and Section 8 Thresholds
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January 27, 2012 Second Circuit Affirms Disgorgement Of Short-Swing Profits Made By Private Equity Funds
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January 27, 2012 Large Traders Not Required to Submit Annual Filing for Calendar Year 2011
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January 24, 2012 Dutch Court Decision Has Significant Implications for Securities Class Actions
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January 13, 2012 Important Update: IRS Issues New Notice Relaxing Information Reporting Requirements For 2011 Corporate Actions
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January 13, 2012 IRS Releases U.S. Form 8937 For Issuers of Securities To Use For Reporting Corporate Actions Affecting Basis Under Section 6045B: Immediate Deadline
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January 3, 2012 What is the Most Important Volcker Rule Issue that Regulators Must Address Next Year?
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January 3, 2012 What Will Be the Most Significant Development for Consumer Financial Protection Next Year?
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January 3, 2012 What Is the Top Credit Risk Retention Issue That Regulators Must Address in 2012?
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January 3, 2012 What Is the Top Systemic Risk Issue That Regulators Must Address in 2012?
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January 2012 The IRS Proposes New Rules Under Section 892 That May Simplify Foreign Governments’ Investments In The U.S., Including In Private Equity Funds
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December 30, 2011 SEC Adopts Net Worth Standard For Accredited Investors Under Regulation D
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December 21, 2011 New York’s Highest Court Holds That The Martin Act Does Not Preempt Common Law Claims In Securities Cases
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December 19, 2011 Second Circuit Upholds Investor’s FCPA Conviction On Willful Blindness Theory
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December 1, 2011 New Treasury Form SLT Applicable to Investment Managers, Broker-Dealers and Funds, The Investment Lawyer
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December 2011 Dodd-Frank Designation Of Nonbank Financial Companies – FSOC Releases Proposed Rule
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December 2011 Securing Mobile Assets: The Cape Town Convention And The Proposed Protocol On Security Interests In Space Assets
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November 23, 2011 Q&A With Willkie Farr’s Steven Klein
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November 17, 2011 CFTC Adopts Final Rules On Position Limits
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November 16, 2011 Seventh Circuit Holds That Insurance Coverage For “Personal and Advertising Injury” Does Not Include Antitrust Liability
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November 16, 2011 SEC and CFTC Adopt Private Fund Reporting Rules
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November 10, 2011 Q&A With Willkie Farr’s Eugene Pinover
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November 9, 2011 The IRS Proposes New Rules Under Section 892 that May Simplify Foreign Governments’ Investments in the United States, Including in Private Equity Funds
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November 7, 2011 DOL Issues Final Regulations For ERISA’s Investment Advice Exemption
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November 4, 2011 Indiana Attorney General Settles Data-Breach Case For $100,000
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November 3, 2011 Super Committee May Change Estate, Gift and GST Tax Exemptions
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November 2011 Jones v. Harris: Eighteen Months Later, The Investment Lawyer, vol. 18, no. 11
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November/December 2011 Key Rulings From Delaware Bankruptcy Court’s Rejection of Washington Mutual’s Plan of Reorganization
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November 2011 America Invents Act Makes Historic Changes To U.S. Patent Law
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October 27, 2011 SEC Adopts Private Fund Reporting Rules and Form PF
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October 24, 2011 Key 2012 Dollar Limits For Benefits and Executive Compensation To Increase
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October 21, 2011 Q&A With Willkie’s Gordon Caplan
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October 21, 2011 Financial Stability Oversight Council Releases Proposed Rule Regarding Designation of Nonbank Financial Companies
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October 20, 2011 Reminder: November 1, 2011, Deadline For Certain Foreign Bank Account Reports (“FBARs”)
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October 19, 2011 CFTC Adopts Final Rules on Position Limits; Independent Account Controller Exemption Retained
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October 14, 2011 SEC Seeks Public Comment on Potential Amendments to Rule 3a-7 under the Investment Company Act and Treatment of Certain Asset-Backed Issuers and Mortgage-Related Pools
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October 14, 2011 Case Alert: Lower Courts Apply the U.S. Supreme Court’s Janus Decision to Limit Rule 10b-5 Claims Brought by the SEC
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October 7, 2011 Recently Introduced FIRPTA Reform Legislation Would Encourage Foreign Investment in REITs
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October 7, 2011 The SEC Sanctions Broker For Failure To Maintain And Enforce Insider Trading Policies
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October 2011 IRS Releases Timeline For Implementing FATCA, Including Delaying The Deadline Until 2014 For Foreign Financial Institutions’ Compliance With Certain Provisions
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October 2011 Key Congressional Leaders Introduce Legislation to Protect the Privacy
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September 27, 2011 SEC Issues Derivatives Concept Release — Significant Changes May Be In Store For Registered Funds
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September 27, 2011 District Court, Applying Janus Broadly, Rules Against The SEC in Case of First Impression
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September 23, 2011 Case Study: In Re TerreStar Networks
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September 22, 2011 Internal Revenue Service Proposes Regulations Defining Scope of Exclusion of Swaps From Section 1256 and Revising Definition of Notional Principal Contracts
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September 20, 2011 Key Rulings From Delaware Bankruptcy Court’s Rejection of Washington Mutual’s Plan of Reorganization
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September 19, 2011 America Invents Act Makes Historic Changes to U.S. Patent Law
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September 14, 2011 DOJ’s Antitrust Division Issues Revised Policy Guide To Merger Remedies
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September 13, 2011 ICO Issues Its Largest Fine Against a Single Entity for Data Security Breach
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September 9, 2011 New Treasury Form SLT Applicable To Investment Managers, Broker-Dealers and Banks
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September 8, 2011 Involuntary Chapter 11 Case Filed Against Cayman “CDO Squared” Issuer Survives Motion to Dismiss
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September 7, 2011 The SEC Sanctions Broker For Failure To Maintain and Enforce Insider Trading Policies
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September 2011 SEC Adopts Rule Defining “Venture Capital Fund” For Purposes of Exemption From The Investment Advisers Act
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August 29, 2011 Southern District of New York Bankruptcy Court Holds That Creditors Can Hold a Valid Lien on The Economic Value of FCC Licenses
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August 25, 2011 Insider Trading: Investment Research and Insider Trading on “Outside Information”
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August 19, 2011 Preferred Stock — Not So Preferred After All
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August 12, 2011 New Privacy Bills Introduced In The House of Representatives Would Affect Business Across Industries
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August 9, 2011 New Insurance Products Protect Against Costs of FCPA Investigations
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August 4, 2011 SEC Adopts Large Trader Reporting System
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August 4, 2011 Delaware Court of Chancery Reiterates the Primacy of Contract Principles in the Context of Interpreting the Rights of Preferred Stockholders
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August 4, 2011 IRS Releases Timeline For Implementing FATCA, Including Delaying The Deadline Until 2014 For Foreign Financial Institutions’ Compliance With Certain Provisions
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August 3, 2011 Frequency of “Say-On-Pay” Votes: Reminder — Disclosure May Still Be Required
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August 2011 FDIC Issues Final Rule On Orderly Liquidation Authority
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August 2011 SEC Fines Three Brokerage Executives for Regulation S-P Violations
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August 2011 Federal Circuit Review - Doctrine of Equivalents
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July 2011 Vermont AG Settles Data Breach Enforcement Action For $55,000
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July 26, 2011 D.C. Circuit Vacates SEC “Proxy Access” Rules
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July 22, 2011 Second Circuit Issues Long-Awaited Opinion In CSX Litigation
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July 15, 2011 CFTC Provides Temporary Dodd-Frank Relief
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July 13, 2011 The FTC Implements Amendments To The Hart-Scott-Rodino Form and Rules That Will Affect Reporting Obligations For All Filers and Investment Funds In Particular
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July 8, 2011 FDIC Issues Final Rule on Orderly Liquidation Authority
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July 7, 2011 Ninth Circuit is First Out of the Gate to Apply the Supreme Court's Janus Capital Decision Limiting the Scope of the 10b-5 Private Right of Action
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July 5, 2011 SEC Adopts Rule Defining “Venture Capital Fund” For Purposes of Exemption From The Investment Advisers Act
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July 2011 Key Congressional Leaders Advance Efforts To Strengthen Consumer Privacy Protections
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June 30, 2011 SEC Adopts Rules Implementing Dodd-Frank Investment Adviser Exemptions and Registration Requirements
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June 29, 2011 SEC Adopts Rule Defining “Family Office” For Purposes of Exclusion From The Advisers Act
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June 27, 2011 CMBS Certificateholders Shut Out
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June 27, 2011 The SEC Fines Three Brokerage Executives For Regulation S-P Violations
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June 23, 2011 Supreme Court Adopts Rule Of Narrow Construction for Rule 10b-5
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June 23, 2011 Second Circuit Reverses “Hot News” Judgment Against Theflyonthewall.com For Publishing Broker Buy-Sell Recommendations
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June 23, 2011 PCAOB Foreign Inspections – A Chinese Conundrum
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June 22, 2011 PCAOB Foreign Inspections – A Chinese Conundrum
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June 22, 2011 SEC Extends Adviser Registration Deadline, Adopts Dodd-Frank Amendments To Investment Advisers Act
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June 20, 2011 Treasury Department Agencies Extend The “FBAR” Deadline For Some Filers With Signature Authority Over Foreign Financial Accounts
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June 15, 2011 SEC Proposes To Disqualify Certain Persons From Reliance On Private Placement Safe Harbor
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June 13, 2011 Supreme Court Holds That Rule 10b-5 Must Be Construed Narrowly
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June 9, 2011 Summary of the Consumer Privacy Protection Act (H.R. 1528)
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June 9, 2011 Summary of the Do-Not-Track Online Act of 2011 (S. 913)
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June 9, 2011 Summary of the Commercial Privacy Bill of Rights Act of 2011 (S. 799)
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June 9, 2011 Supreme Court Reverses The Fifth Circuit and Holds That Class Action Plaintiffs Are Not Required To Prove Loss Causation At The Class Certification Stage
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June 9, 2011 Key Congressional Leaders Introduce Legislation To Protect The Privacy of Consumer Online and Offline Information
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June 2011 Understanding The Terms Of Security Agreements
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June 2011 The Halliburton Oral Arguments: The Supreme Court Grapples with the Role of Loss Causation in Class Certification
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June 2011 Federal Circuit Review - Infringement
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June 1, 2011 Reminder: Reports of Foreign Bank and Financial Accounts Are Due On Or Before June 30, 2011
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June 1, 2011 SEC Proposes To Increase Thresholds For Adviser Performance Fees
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June 2011 Treasury Department Issues Revised Rules For Reporting Foreign Financial Accounts: HIRE Act Requires Reporting on the Federal Income Tax Return of Certain Foreign Financial Assets
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May 27, 2011 SEC Adopts Final Rules For Whistleblower Claims; Exclusions From Potential Whistleblowers Significantly Cut Back
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May 26, 2011 CFTC Adopts Relief For Commodity ETFs
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May 25, 2011 Cohabitation des espaces industriels et résidentiels : arbitrage constitutionnel à l’aune de la Charte de l’environnement
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May 24, 2011 SEC Approves Delay For Implementation of FINRAs Anti-Spinning Rule Until September 26 2011
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May 20, 2011 Securities and Exchange Commission Enters Into First Deferred Prosecution Agreement
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May 18, 2011 Recordkeeping and Reporting For Historical Swaps
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May 17, 2011 SEC Holds Roundtable on Money Market Funds and Systemic Risk
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May 16, 2011 Trade Groups and Privacy Advocates Offer Comments on FTC’s Proposed Privacy Framework
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May 6, 2011 Federal Agencies Issue Proposed Rule Regarding Financial Institutions’ Incentive-Based Compensation
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May 4, 2011 Treasury Proposes To Exclude FX Swaps and FX Forwards From Most CFTC Oversight
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