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July 18, 2014
U.S. Imposes Sectoral Sanctions Against Russia; Targets Banking, Energy and Arms, But Scope Is Limited

July 17, 2014
EU Sanctions Update – Russia/Ukraine

July 11, 2014
SEC Staff Provides Proxy Voting Guidance for Investment Advisers and Proxy Advisory Firms

July 10, 2014
Companies Adopt Varying Approaches to Disclosure Under SEC Conflict Minerals Rule

July 8, 2014
Supreme Court Rules an Inherited IRA is not Protected in Federal Bankruptcy

July 2014
Corporate Crime Bulletin

June 26, 2014
FATCA: IRS Releases Instructions to Form W-8BEN-E

June 24, 2014
Halliburton II: Fraud-on-the-Market Presumption Survives but Supreme Court Makes it Easier to Rebut Presumption

June 23, 2014
Paradigm Capital Pays Over $2 Million in First Ever SEC Whistleblower Retaliation Enforcement Action

June 23, 2014
Alice Corp. v. CLS Bank: Supreme Court Holds Computer Implementation Does Not Render Abstract Idea Eligible For Patent

June 18, 2014
Supreme Court Provides Guidance to Bankruptcy Courts in Addressing “Stern Claims” and Holds That “Stern Claims” May Proceed as Non-Core Claims

June 2, 2014
Prudential Obtains No-Action Relief From CFTC in Connection With Swap Definition Under the Commodity Exchange Act

May 30, 2014
Reminder: Foreign Bank and Financial Accounts Report (“FBAR”) Filing Deadline of June 30, 2014 for 2013 FBAR, New Mandatory E-Filing, Deadline Re-Extended for Certain Signature Authority FBARs

May 20, 2014
Landmark Decision Issued on The Scope of The Terms “Foreign Official” and “Instrumentality” Under The Foreign Corrupt Practices Act

May 13, 2014
CPO Delegation Alert: Action Required

May 13, 2014
In re Roslin Institute: Federal Circuit Finds Cloned Animals Not Patent Eligible

May 13, 2014
What Are the Tax Reasons Favouring the United Kingdom as a Holding Company Location for International Groups?

May 9, 2014
Latest Developments Regarding the Proposed European Union Financial Transaction Tax

May 8, 2014
Recent SEC Speech Highlights Concerns and Observations Raised By SEC Exams of Private Equity Fund Advisers

May 2, 2014
Climate Disclosure: The Continuing Call for Transparency

May 2, 2014
FATCA: IRS Notice 2014-33 Provides That Certain “Preexisting Obligation” Dates Will Be Shifted to December 31, 2014; That 2014 and 2015 to be “Transition Period” for Enforcement for Certain Rules; and Certain Other FATCA Changes

April 29, 2014
Non-Profit Revitalization Act

April 29, 2014
U.S. and Europe Impose New Sanctions Against Russia

April 14, 2014
NAIC Report: 2014 Spring National Meeting

April 2014
Fisker Automotive Puts the Brakes on Distressed Investors’ Right to Credit Bid

April 4, 2014
FATCA Update: FFI Filing Deadline Extended, Near-Final IGAs Treated as Effective, New U.S. Form W-8BEN-E Finalized

April 2014
FATCA Update for Investment Funds

March 2014
Agencies Adopt Final Rules Implementing the Volcker Rule; Federal Reserve Board Extends Conformance Period

March 20, 2014
UK Government Announces New Legislation – Solvency II Compliant Insurance Hybrid Debt – UK Tax Treatment

March 2014
Corporate Crime Bulletin

March 17, 2014
Delaware Supreme Court Holds that the Business Judgment Standard of Review, Not Entire Fairness, Applies to Going-Private Transactions Involving Controlling Shareholders

March 6, 2014
Proposed Change to New York Estate Tax May Warrant Action by New York Residents Before April 1

March 5, 2014
Investment Company Performance: The Board’s Oversight Role

March 5, 2014
Sustainable Finance: Implications of Equator Principles 3.0 for Financiers and Developers

March 2014
Regulatory Monitor SEC Update

March 2014
Schemes of Arrangement: Flexible, Global and Here to Stay

February 19, 2014
CFTC COMPLIANCE ALERT: CPO AND CTA ANNUAL AFFIRMATIONS DUE BY MARCH 3, 2014 CFTC Family Office Filing Requirements

February 18, 2014
SEC Provides Guidance Regarding Knowledgeable Employees Investing in Private Funds

February 14, 2014
Reminder: Annual Update of Form ADV and Annual Requirement to Confirm Status of Investors Under the New Issue Rules

February 11, 2014
SEC’s Division of Trading and Markets Issues No-Action Letter on M&A Broker Registration

February 10, 2014
FATCA Update for Investment Funds

February 10, 2014
District Court Rejects IRS “Cascading” Tax on Retrocession Premiums

February 2014
New Environmental Due Diligence Requirements To Qualify For Purchase Liability Protections

February 2014
SEC Provides Guidance On “Bad Actor” Disqualifications In Rule 506 Regulation D Offerings

January 31, 2014
FINRA Eases Compliance for Fund of Funds Investors Under the “Anti-Spinning” Rule

January 2014
Recent Developments and Current Trends in Insurance Transactions and Regulation Year in Review 2013

January 29, 2014
FTC Revises HSR Thresholds and Section 8 Thresholds

January 28, 2014
CFTC Issues Mandatory Trade Execution Determinations

January 27, 2014
Fisker Automotive Puts the Brakes on Distressed Investors’ Right to Credit Bid

January 24, 2014
NFA Contemplates Capital Requirements for CPOs and CTAs

January 2014
Crime and Courts Ac t 2013: Deferred Prosecution Agreements Code of Practice

January 2014
Distressed M&A in Europe: What to Look Out for in 2014

January 8, 2014
NAIC Report: 2013 Fall National Meeting

January 6, 2014
Update on the FDIC’s Advisory Statement Regarding the Scope and Significance of Exclusions in D&O Insurance Policies

January 3, 2014
Third Circuit Holds That Claims Are Disallowable Under Section 502(d) of the Bankruptcy Code No Matter Who Holds Them

January 2, 2014
2014 Exemption and Annual Exclusion Amounts

December 2013
Corporate Crime Bulletin

December 18, 2013
Agencies Adopt Final Rules Implementing The Volcker Rule; Federal Reserve Board Extends Conformance Period

December 16, 2013
CFTC Proposes Amendments to Position Aggregation Rules

December 16, 2013
Websites and Mobile App Providers Must Amend Their Privacy Policies to Comply with New “Do Not Track” Disclosure Requirements by January 1, 2014

December 13, 2013
What is Expert Determination? The Secret Alternative to Arbitration

December 13, 2013
FIO Releases Report on Modernization and Improvement of U.S. Insurance Regulation

December 9, 2013
SEC Provides Guidance on “Bad Actor” Disqualifications in Rule 506 Regulation D Offerings

December 6, 2013
New Environmental Due Diligence Requirements to Qualify for Purchaser Liability Protections

December 4, 2013
U.S. House Expected to Pass Legislation Exempting Some Private Equity Advisers From SEC Registration and Reporting Rules

December 2013
New Rules Adopted by AAA Allow for Optional Review of Arbitration Awards by a Panel of Appellate Arbitrators

December 2013
FDIC Issues Advisory Statement Regarding D&O Insurance Policies, Exclusions and Indemnification For Civil Money Penalties

November 25, 2013
FTC Amends HSR Rules to Clarify Treatment of Exclusive Patent Licenses

November 22, 2013
Third Circuit Holds That Claims Are Disallowable Under Section 502(d) of the Bankruptcy Code No Matter Who Holds Them

November 21, 2013
IRS Notice on Coordination of FATCA Obligations With U.S. Reporting and Withholding Regimes

November 19, 2013
New York Enacts Law to Allow Smaller Mutual Life Insurers to Reorganize as Mutual Holding Companies

November 19, 2013
Legislation Effective in New York to Combat Paper Terrorism

November 18, 2013
Supreme Court to Address the Viability of the Fraud-On-The-Market Presumption

November 13, 2013
New Rules Adopted by AAA Allow for Optional Review of Arbitration Awards by a Panel of Appellate Arbitrators

November 2013
CFTC Adopts Harmonization Rules Applicable To Registered Investment Companies That Do Not Rely On CFTC Rule 4.5

November 1, 2013
Key 2014 Dollar Limits for Benefits and Executive Compensation to Increase

October 23, 2013
FDIC Issues Advisory Statement Regarding D&O Insurance Policies, Exclusions and Indemnification for Civil Money Penalties

October 2013
When Your Non-Binding Term Sheet Creates An Enforceable Contract: Important Decision On The Duty To Negotiate In Good Faith

October 2013
Lies, Half-Truths, And Concealing Information: The Risks Of M&A Due Diligence

September 30, 2013
Corporate Crime Bulletin

September 26, 2013
Insurance M&A 2013: Update on Market Activity and Recent Developments

September 20, 2013
SEC Proposes Pay Ratio Disclosure Rules

September 20, 2013
SEC’s Short Selling Crackdown Highlights Role of Inspections in Enforcement Actions and Continuing Need for Compliance Vigilance

September 19, 2013
New York Court Upholds Kenneth Cole Going Private Transaction

September 16, 2013
Trados Resolved: Blind Squirrel Gets The Nut

September 13, 2013
NAIC Report: 2013 Summer National Meeting

September 9, 2013
Lies, Half-Truths, and Concealing Information

September 9, 2013
New York Court Rejects Challenge to Kenneth Cole Going Private Transaction, Applies Business Judgment Rule, And Confirms Rights of Controlling Stockholders Under New York Law

September 2013
Corporate Crime Bulletin

September 2013
SEC Lifts Ban On General Solicitation For Certain Private Offerings, Disqualifies “Bad Actors” From Participating In Regulation D Private Offerings And Proposes Rules To Assist In Monitoring Market Practices

August 28, 2013
CFTC Adopts Harmonization Rules Applicable to Registered Investment Companies That Do Not Rely on CFTC Rule 4.5

August 23, 2013
If the Price Is Fair, Ultimately Delaware Courts Don’t Care

August 16, 2013
CFTC Amends CPO Rules

August 12, 2013
SEC Staff Provides Relief on Custody of Privately Offered Securities

August 9, 2013
Sentencing Council Publishes New Draft Sentencing Guidelines: Fraud, Bribery, Money Laundering and Corporate Offenders

August 8, 2013
Crime and Courts Act 2013: Deferred Prosecution Agreements Code of Practice

August 7, 2013
Elimination of Fiduciary Duties in Publicly Traded Delaware Limited Partnerships

August 6, 2013
FTC Implements a New HSR Filing Withdrawal Rule

August 2013
Corporate Crime Bulletin

August 1, 2013
Mandatory Swap Clearing and The End-User Exception

July 30, 2013
Federal Court of Appeals Holds Private Equity Fund May Be Liable For Pension Liabilities of Portfolio Company

July 22, 2013
CFTC Issues Guidance and Temporary Exemptive Relief Regarding Cross-Border Swap Regulations

July 18, 2013
SEC Lifts Ban on General Solicitation for Certain Private Offerings, Disqualifies “Bad Actors” From Participating In Regulation D Private Offerings and Proposes Rules to Assist in Monitoring Market Practices

July 17, 2013
Treasury Announces FBAR Mandatory Electronic Filing Requirement

July 16, 2013
Six-Month Delay of FATCA Deadlines

July 16, 2013
Update on Private Funds and Broker-Dealer Registration

July 12, 2013
Owners of Stock in Fannie Mae and Freddie Mac Begin Suing Government in U.S. Court of Federal Claims

July/August 2013
SEC Proposes Changes To Money Market Funds

July 3, 2013
New York’s Highest Court and The United States Court of Appeals Issue Three Decisions Impacting the Scope and Application of Longstanding Insurance Principles

July 2, 2013
DC Circuit Upholds Commodity Futures Trading Commission Rule Affecting Registered Investment Companies

July/August 2013
SEC Takes Aim at Fund Directors Over Valuation Process : A Look at In re J. Kenneth Alderman et al.

July 2013
Corporate Crime Bulletin

July 2013
Only In Our House: Delaware Chancery Court Holds Delaware Forum Selection Bylaws Are Facially Valid

June 27, 2013
Delaware Chancery Court Holds Forum Selection Bylaws Are Facially Valid

June 24, 2013
Long-Anticipated Settlement in SEC’s Valuation Case Against Fund Directors

June 14, 2013
SEC Proposes Changes To Money Market Funds

June 7, 2013
FCPA Powerhouse: Willkie Farr

June 5, 2013
Analyzing Ch. 15 Recognition Motion And Provisional Relief

June 4, 2013
When Your Non-Binding Term Sheet Creates an Enforceable Contract

June 2013
Delaware Supreme Court Issues Important Ruling Barring Re-Litigation Of Stockholder Derivative Suit Under Collateral Estoppel

May 30, 2013
Business Judgment Rule, Not Entire Fairness, Applies to Going-Private Transactions Approved By a Special Committee and a Majority-of-the-Minority Vote

May 29, 2013
July Adherence Deadline For ISDA March 2013 Dodd-Frank Protocol

May 28, 2013
Sixth Circuit Creates Split With Second and Ninth Circuits on Section 11 Liability For Statements of Opinion or Belief

May 20, 2013
NAIC to Consider Private Equity Investments in Life and Annuity Insurers

May 15, 2013
NYSE and NASDAQ Listing Standards on Compensation Committees and Advisors Set to Go Into Effect on July 1, 2013

May 9, 2013
FCC Streamlines and Clarifies Requirements for Common Carrier Wireless Foreign Ownership

May 9, 2013
Second Circuit Curtails 10b-5 Market Manipulation Claims

May 7, 2013
Enforcement Under The New UK Regulatory Architecture

May 2, 2013
SEC and CFTC Adopt Identity Theft Red Flag Rules

May 2, 2013
In re C. W. Mining Company: Recent Case Highlights the Importance of Using a Debtor’s Exact Name on a UCC Financing Statement to Perfect a Security Interest

May 2013
Corporate Crime Bulletin

May 2013
Back To Basic: Proof of Materiality Not Needed To Trigger The Fraud-On-The-Market Presumption of Reliance

April 29, 2013
Ralph Lauren Settles Foreign Corrupt Practices Act Allegations With First-Ever SEC Non-Prosecution Agreement in an FCPA Case

April 26, 2013
Eighth Circuit Rules: Endorsement Voids Otherwise Mandatory Arbitration Clause in Insurance Policy

April 26, 2013
NAIC Report: 2013 Spring National Meeting

April 26, 2013
Financial and Trade Sanctions Briefing III

April 24, 2013
‘Morrison’s’ Impact on Claims Under the Commodity Exchange Act

April 19, 2013
Supreme Court Limits Scope of Alien Tort Statute

April 12, 2013
Private Funds and Broker-Dealer Registration: Comments by The Chief Counsel of the SEC’S Division of Trading and Markets

April 11, 2013
Congress Again Considers Regulating Providers and Users of Political Intelligence

April 10, 2013
An Arbitrator’s Authority to Award Interest on an Award until “Date of Payment”: Problems and Limitations

April 10, 2013
Supreme Court Extends “Rigorous Analysis” Standard For Class Actions to Damages Claims in Comcast Corp. v. Behrend

April 8, 2013
U.S. Supreme Court to Decide Effect of Contractual Forum-Selection Clauses in Federal Courts

April 5, 2013
Insurers Too Must Heed Iran Sanctions

April 5, 2013
Delaware Supreme Court Issues Important Ruling Barring Re-Litigation of Stockholder Derivative Suit Under Collateral Estoppel

April 2013
Corporate Crime Bulletin

April 2013
“Well, Now I’m Screwed. I Can’t Sell.” The Words That Will Take The SEC’s Insider Trading Case Against Mark Cuban To Trial

March 27, 2013
Survey of CFTC Relief

March 25, 2013
SEC Proposes Regulation Systems Compliance and Integrity

March 21, 2013
Two Recent SEC Enforcement Actions Highlight the SEC’s Focus on Private Equity Fund Managers

March 14, 2013
Under The Hood Of In Re Motors Liquidation

March 14, 2013
The Unauthorized Filing of a Uniform Commercial Code Termination Statement Has No Legal Effect

March 6, 2013
The SEC’s Case Against Mark Cuban Heads to Trial

March 2013
Pack Your Bags and Renew That Passport: Duties of Independent Directors of Delaware Corporations Having Significant Operations or Assets Abroad

March 2013
Reminder: Annual Update of Form ADV and Annual Requirement To Confirm Status of Investors Under The New Issue Rules

March 1, 2013
Supreme Court Rejects Application of Fraud Discovery Rule to SEC Enforcement Actions Seeking Civil Penalties

February 28, 2013
Supreme Court Further Clarifies Class Certification Standards For Securities Fraud Actions

February 26, 2013
Reminder: Annual Update of Form ADV and Annual Requirement To Confirm Status of Investors Under The New Issue Rules

February 26, 2013
Delaware Steps Up Enforcement of Unclaimed Property Law

February 13, 2013
Facebook Wins Dismissal of IPO Derivative Action

February 12, 2013
CFTC Compliance Alert: First Quarter 2013 Compliance Reminders

February 8, 2013
Pack Your Bags and Renew That Passport: Duties of Independent Directors of Delaware Corporations Having Significant Operations or Assets Abroad

February 6, 2013
SEC Rule 412: What Is Said Now Trumps What Was Said Before

February 2013
Tax Changes For Investment Funds And Their Investors In Fiscal Cliff Legislation

February 2013
Treasury Department Extends FBAR Deadline Until June 30, 2014, For Certain Filers

January 2013
Federal Circuit Review - § 112 Requirements

January 28, 2013
DOJ Seeks to Undo Allegedly Anticompetitive Acquisition, Citing Buyer’s Internal “Hot” Documents

February 2013
Second Circuit Decision Clarifies the Standard for Claims of Aiding and Abetting Securities Fraud

February 2013
Government’s Burden in Insider Trading Cases Clarified

January 24, 2013
Defending an FCPA Books and Records Violation

January 18, 2013
Tax Changes for Investment Funds and Their Investors in Fiscal Cliff Legislation

January 18, 2013
Treasury Department Extends FBAR Deadline Until June 30, 2014 For Certain Filers

January 17, 2013
Recent Developments and Current Trends in Insurance Transactions and Regulation Year in Review 2012

January 14, 2013
FTC Revises HSR Thresholds and Section 8 Thresholds

January 2013
Former Federal Prosecutors Pen New Treatise On The FCPA

December 20, 2012
Deferred Prosecution Agreements Are Coming To The UK

December 18, 2012
‘SEC v. Obus’: Second Circuit Clarifies Standards for Insider Trading

December 14, 2012
NAIC Report: 2012 Fall National Meeting

August/September 2012
Are Arbitration Clauses in International Insurance Contracts Enforceable? The Fourth Circuit Joins the Debate

December 11, 2012
In The Wake of Storm Sandy, Insurance Companies Should Ensure That Their Business Continuity and Disaster Recovery Plans Comply With Legal Requirements and Best Practices

December 7, 2012
Fifth Circuit’s Vitro Decision Frames Basis For Relief In Cross-Border Reorganizations

December 3, 2012
After the Storm: Determining Title To Changing Shoreline Property

December 3, 2012
CFTC Provides Temporary Registration Relief For Fund of Fund Managers

December 3, 2012
Deferred Prosecution Agreements Will Come to the U.K.

November 30, 2012
Family Office Alert: CFTC Provides Relief

November 28, 2012
New IRS Regulation Provides Relief From Lump Sum Payments For Distressed Single Employer Pension Plans

November 21, 2012
FSOC Proposes Money Market Fund Structural Reforms

November 20, 2012
Treasury Excludes FX Swaps and FX Forwards From Most CFTC Oversight

November 16, 2012
Department of Justice and Securities and Exchange Commission Issue Long-Awaited FCPA Guidance

November 16, 2012
Status of FATCA Intergovernmental Agreements

November 15, 2012
Internal Revenue Service Revises Timelines For FATCA Implementation In Announcement 2012-42

November 14, 2012
United Kingdom Employment Income Tax Changes May Affect International Groups

November 13, 2012
Key 2013 Dollar Limits For Benefits and Executive Compensation To Increase

November 12, 2012
Preparing for the Possible Enactment of Carried Interest Legislation

November 6, 2012
SFO Issues New Guidance

November 6, 2012
Extension of Current Iran Sanctions

October 25, 2012
Financial Transactions Tax Proposed in Eleven European Union States

October 24, 2012
The FTC Withdraws Its 2003 Policy Statement on Monetary Equitable Remedies In Competition Cases

October 24, 2012
In re Miller: Recent Case Highlights The Difficulty of Perfecting Security Interests Against Individuals Under Article 9 of The UCC

October 17, 2012
CFTC Excludes Certain Securitization Vehicles From Definition of Commodity Pool and Extends Registration Deadline For Certain CPOs and CTAs

October 16, 2012
An Ounce of Prevention Is Worth a Pound of Cure

October 16, 2012
RIC Modernization Act’s Effective Date for Capital Loss Carryovers for Excise Tax Purposes: IRS Revenue Ruling 2012-29

October 10, 2012
Bank Regulatory Agencies Adopt Final Rules For Stress Tests Using Two-Tiered Implementation Process

October 9, 2012
Assessing the SEC’s New ‘Neither Admit Nor Deny’ Policy

October 5, 2012
CFTC Amends CPO and CTA Rules; NFA Adopts Test Waiver and Swap Designation For Members

October 2, 2012
Certain Compensation Payable Subject to the Execution of a Release of Claims May Require Amendment by December 31, 2012

October 2012
SEC Proposes Rules Easing Prohibition On General Solicitations

October 1, 2012
Every Good Document Review Starts With Human Expertise

October 2012
Federal Circuit Review - Anticipation

October 1, 2012
Court Vacates and Remands CFTC Position Limit Rule

September 27, 2012
SEC Approves FINRA Rule to Require Filings For Certain Private Placements Sold By Broker-Dealers

September 24, 2012
NAIC 2012 Summer National Meeting Makes Strides on Key Initiatives

September 6, 2012
Dividend Equivalent Payments Proposed Regulations’ Effective Date Postponed One Year

September 2012
Implementing Enterprise Risk Management

September 5, 2012
Estate Planning Opportunity Coming to a Close

September 4, 2012
SEC Proposes Rules Easing Prohibition on General Solicitations

September 4, 2012
N.Y. Attorney General Investigates Private Equity Management Fee Waivers

September 2012
Does a Subordinated Debt Holder’s Assignment of its Right To Vote on a Bankruptcy Plan Effectively Sacrifice All of the Subordinated Debt Holder’s Rights in a Chapter 11 Case?

Fall 2012
Regulatory Perspective: The SEC’s Concept Release on Securities Law Issues Presented by Funds’ Derivative Investments – Potential Relevance for Tax Diversification Tests

August 28, 2012
Delaware Court Dismisses Fiduciary Duty Claims Against a Controlling Stockholder and Board and Reaffirms Certain Delaware Law Principles

August 2012
Security Interests in Proceeds of Collateral

August 23, 2012
Financial and Trade Sanctions Briefing II – UK and EU

August 23, 2012
CFTC and SEC Adopt Definition of “Swap” and “Security-Based Swap”

August 22, 2012
Government’s Burden In Insider Trading Cases Clarified

August 21, 2012
NAIC Report: 2012 Summer National Meeting

August 20, 2012
ISDA August 2012 Dodd-Frank Protocol

August 20, 2012
Second Circuit Decision Clarifies The Standard For Claims of Aiding and Abetting Securities Fraud

August 17, 2012
The Eleventh Circuit and Third Circuit Diverge on Reverse-Payment Settlements

August 16, 2012
The SEC Approves New Consolidated Audit Trail Rule

August 15, 2012
CFTC Releases Guidance For CPOs and CTAs

August 2, 2012
More Unintended Consequences of Use Restrictions In Confidentiality Agreements

July 30, 2012
Fourth Circuit Issues Important Decision on Enforceability of Arbitration Agreements in International Insurance Contracts

July 27, 2012
UK Deferred Prosecution Agreements - Are They the Bridge Between Prosecution and Civil Recovery?

July 23, 2012
Does a Subordinated Debt Holder’s Assignment of Its Right to Vote on a Bankruptcy Plan Effectively Sacrifice All of the Subordinated Debt Holder’s Rights in a Chapter 11 Case?

July 20, 2012
Vigorous FCPA Compliance Program Averts U.S. Enforcement Action Against Financial Services Firm For Rogue Employee Violations

July 18, 2012
CFTC Provides Temporary Relief For CPOs and CTAs

July 17, 2012
How Does The New United Kingdom Controlled Foreign Company Regime Treat International Insurance Groups?

July 12, 2012
When Is It Safe To Conclude You Are Not An Insider?

July 2012
2012 Insurance Industry Risk Factor Review

July/August 2012
Acquirors Beware: The Unintended Standstill Consequences Of Confidentiality Agreements

June 29, 2012
National Futures Association Establishes Pre-Filing System For CPOs and CTAs

June 28, 2012
U.S. Supreme Court to Decide Whether Class Certification Requires Plaintiff Class To Establish By Admissible Evidence That Damages Can Be Awarded On a Class-Wide Basis

June 25, 2012
U.S. Legislation Further Opens U.S. Capital Markets to Non-U.S. Issuers

June 25, 2012
CFTC and SEC Define "Major Swap Participant" and "Major Security-Based Swap Participant"

June 22, 2012
New Risk of U.K. Withholding Tax on Interest on Intra-Group Loans

June 22, 2012
National Futures Association Proposes to Harmonize CPO and CTA Reporting Requirements

June 13, 2012
The FSA’s Thematic Review on ABC Systems and Controls in Investment Banks, Are We Heading in The Right Direction?

June 7, 2012
Further FSA Enforcement Action Against An MLRO, What Next For Those Responsible For Financial Crime Issues?

June 6, 2012
From West to East: Paving a Smoother Road for Private Antitrust Claims

June 2012
Eleventh Circuit Rejects the Strength of a Patent as a Criterion for the Legality of Reverse-Payment Settlements

June 2012
The Second Circuit Weighs In On Challenges To Class Certification In MBS-Related Litigation

June 1, 2012
Financial and Trade Sanctions: What Banks Need To Know

June 1, 2012
A Troubling Bank Balance — Competing Duties For Banks When Making Suspicious Activity Reports

May 31, 2012
CFTC Proposes Modifications To Position Limit Aggregation Rules

May 30, 2012
Insurance-Linked Securities and The Extraterritorial Scope of Rule 10b-5

May 30, 2012
Supreme Court Confirms Right to Credit Bid in a Sale Under a Plan

May 29, 2012
BSIs British Standard for an Anti-Bribery Management System (ABMS) vs. Bribery Act Guidance: What Is Necessary To Show “Adequate Procedures”?

May 29, 2012
Lessons To Be Learnt Regarding PEP’s From Recent FSA Enforcement Action

May 24, 2012
A New Act, A New Director, What Next For The SFO?

May 21, 2012
Shah v HSBC – Update

May 18, 2012
The Opportunities and Risks Posed by Social Media for Antitrust Compliance

May 15, 2012
Acquirors Beware: The Unintended Standstill Consequences of Confidentiality Agreements

May 8, 2012
Swap Dealer and Security-Based Swap Dealer Defined

May 8, 2012
CFTC Adopts Final Definition of ECP

May 4, 2012
Troubleshooting OTC Euro Transactions

May 2, 2012
Second Circuit Issues Important Decision on Class Certification In MBS-Related Litigation

May 2012
Financial Stability Oversight Council Releases Final Rule Regarding Designation Of Nonbank Financial Companies

April 25, 2012
Federal Reserve Issues Guidance on Volcker Rule Conformance Period

April 20, 2012
Recent Developments and Current Trends in Insurance Transactions and Regulation – April 2012

April 20, 2012
SEC Rule 412 Precludes Claim Challenging Registration Statements Based on Superseded Statements In Incorporated Filings

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

April 18, 2012
JOBS Act Eliminates Restrictions On General Solicitation and General Advertising For Insurance-Linked Securities

April 16, 2012
Altering The Leveraged Lending Landscape

April 10, 2012
Internal Revenue Service Issues Guidance Allowing Partnerships To Provide Schedule K-1s To Partners Electronically

April 9, 2012
New Reporting Obligations For Individuals Compensated By Foreign Entities

April 9, 2012
Financial Stability Oversight Council Releases Final Rule Regarding Designation of Nonbank Financial Companies

April 5, 2012
Will The CFTC Adopt A Family Office Exemption?

April 4, 2012
Two District Courts Interpret Dukes To Require “Rigorous Analysis” In Antitrust Class Certification Decisions

April 4, 2012
A Troubling Bank Balance – Competing Duties For Banks When Making Suspicious Activity Reports

April 3, 2012
Financial and Trade Sanctions Briefing – Financial Institutions

April 3, 2012
Bank Regulatory Agencies Issue Proposed Joint Guidance On Leveraged Lending

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

April 2, 2012
STOCK Act May Lead To Additional Insider Trading Enforcement Actions

April 2012
New Swap Data Recordkeeping And Reporting Rules

March 27, 2012
FDIC Clarifies Treatment of Contracts of Subsidiaries and Affiliates of Covered Companies Under The Dodd-Frank Act

March 27, 2012
CFTC Proposes Harmonization Rules For Mutual Funds

March 14, 2012
Reorganization And D&O: Not Always Business As Usual

March 14, 2012
Internal Revenue Service Has Revised FBAR-Related Questions On U.S. Form 1040, Schedule B

March 7, 2012
CFTC Adopts Final Business Conduct Standards For Swap Dealers & Major Swap Participants

March 7, 2012
New Swap Data Recordkeeping and Reporting Rules

March 6, 2012
Valuing The Invaluable

February 24, 2012
CFTC Reinstates Restrictions on Registered Investment Companies

February 24, 2012
Treasury Department Extends FBAR Deadline Until June 30, 2013 For Certain Filers

February 22, 2012
SEC Amends Rule on Adviser Performance Fees

February 18, 2012
Dutch Court Decision Impacts Global Securities Class Actions

February 17, 2012
CFTC Adopts CPO and CTA Reporting Rules

February 15, 2012
IRS Releases Proposed FATCA Regulations

February 15, 2012
Challenges To The Validity of Delaware Forum Selection Bylaws Commence

February 14, 2012
The European Commission Prohibits The Merger Between NYSE Euronext and Deutsche Börse

February 13, 2012
Final DOL Regulations Require Compensation Disclosure By ERISA Service Providers

February 13, 2012
CFTC Eliminates Registration Exemption Used By Many Hedge Fund Managers

February 10, 2012
Supervisory Obligations of Broker-Dealer Legal and Compliance Personnel After The Urban Case

February 8, 2012
Validity of Class Action Waivers in the Antitrust Context Post-Concepcion

February 8, 2012
Morrison Held To Preclude Securities Act Claims

February 3, 2012
Treasury Form SHC Applicable To Investment Managers, Broker-Dealers and Banks

February 2012
Delaware Forum Selection Bylaws Under Attack

February 2012
The SEC’S Division of Corporate Finance Provides Guidance on the Obligations of Public Companies to Disclose Cybersecurity Risks and Attacks

February 2012
SEC Adopts Net Worth Standard For Accredited Investors Under Regulation D

February 2012
District Court, Applying Janus Broadly, Rules Against The SEC in Securities Fraud Case

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

January 27, 2012
FTC Revises HSR Thresholds and Section 8 Thresholds

January 27, 2012
Second Circuit Affirms Disgorgement Of Short-Swing Profits Made By Private Equity Funds

January 27, 2012
Large Traders Not Required to Submit Annual Filing for Calendar Year 2011

January 24, 2012
Dutch Court Decision Has Significant Implications for Securities Class Actions

January 13, 2012
Important Update: IRS Issues New Notice Relaxing Information Reporting Requirements For 2011 Corporate Actions

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

January 3, 2012
What is the Most Important Volcker Rule Issue that Regulators Must Address Next Year?

January 3, 2012
What Will Be the Most Significant Development for Consumer Financial Protection Next Year?

January 3, 2012
What Is the Top Credit Risk Retention Issue That Regulators Must Address in 2012?

January 3, 2012
What Is the Top Systemic Risk Issue That Regulators Must Address in 2012?

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

December 30, 2011
SEC Adopts Net Worth Standard For Accredited Investors Under Regulation D

December 21, 2011
New York’s Highest Court Holds That The Martin Act Does Not Preempt Common Law Claims In Securities Cases

December 19, 2011
Second Circuit Upholds Investor’s FCPA Conviction On Willful Blindness Theory

December 1, 2011
New Treasury Form SLT Applicable to Investment Managers, Broker-Dealers and Funds, The Investment Lawyer

December 2011
Dodd-Frank Designation Of Nonbank Financial Companies – FSOC Releases Proposed Rule

December 2011
Securing Mobile Assets: The Cape Town Convention And The Proposed Protocol On Security Interests In Space Assets

November 23, 2011
Q&A With Willkie Farr’s Steven Klein

November 17, 2011
CFTC Adopts Final Rules On Position Limits

November 16, 2011
Seventh Circuit Holds That Insurance Coverage For “Personal and Advertising Injury” Does Not Include Antitrust Liability

November 16, 2011
SEC and CFTC Adopt Private Fund Reporting Rules

November 10, 2011
Q&A With Willkie Farr’s Eugene Pinover

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

November 7, 2011
DOL Issues Final Regulations For ERISA’s Investment Advice Exemption

November 4, 2011
Indiana Attorney General Settles Data-Breach Case For $100,000

November 3, 2011
Super Committee May Change Estate, Gift and GST Tax Exemptions

November 2011
Jones v. Harris: Eighteen Months Later, The Investment Lawyer, vol. 18, no. 11

November/December 2011
Key Rulings From Delaware Bankruptcy Court’s Rejection of Washington Mutual’s Plan of Reorganization

November 2011
America Invents Act Makes Historic Changes To U.S. Patent Law

October 27, 2011
SEC Adopts Private Fund Reporting Rules and Form PF

October 24, 2011
Key 2012 Dollar Limits For Benefits and Executive Compensation To Increase

October 21, 2011
Q&A With Willkie’s Gordon Caplan

October 21, 2011
Financial Stability Oversight Council Releases Proposed Rule Regarding Designation of Nonbank Financial Companies

October 20, 2011
Reminder: November 1, 2011, Deadline For Certain Foreign Bank Account Reports (“FBARs”)

October 19, 2011
CFTC Adopts Final Rules on Position Limits; Independent Account Controller Exemption Retained

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

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

October 7, 2011
Recently Introduced FIRPTA Reform Legislation Would Encourage Foreign Investment in REITs

October 7, 2011
The SEC Sanctions Broker For Failure To Maintain And Enforce Insider Trading Policies

October 2011
IRS Releases Timeline For Implementing FATCA, Including Delaying The Deadline Until 2014 For Foreign Financial Institutions’ Compliance With Certain Provisions

October 2011
Key Congressional Leaders Introduce Legislation to Protect the Privacy

September 27, 2011
SEC Issues Derivatives Concept Release — Significant Changes May Be In Store For Registered Funds

September 27, 2011
District Court, Applying Janus Broadly, Rules Against The SEC in Case of First Impression

September 23, 2011
Case Study: In Re TerreStar Networks

September 22, 2011
Internal Revenue Service Proposes Regulations Defining Scope of Exclusion of Swaps From Section 1256 and Revising Definition of Notional Principal Contracts

September 20, 2011
Key Rulings From Delaware Bankruptcy Court’s Rejection of Washington Mutual’s Plan of Reorganization

September 19, 2011
America Invents Act Makes Historic Changes to U.S. Patent Law

September 14, 2011
DOJ’s Antitrust Division Issues Revised Policy Guide To Merger Remedies

September 13, 2011
ICO Issues Its Largest Fine Against a Single Entity for Data Security Breach

September 9, 2011
New Treasury Form SLT Applicable To Investment Managers, Broker-Dealers and Banks

September 8, 2011
Involuntary Chapter 11 Case Filed Against Cayman “CDO Squared” Issuer Survives Motion to Dismiss

September 7, 2011
The SEC Sanctions Broker For Failure To Maintain and Enforce Insider Trading Policies

September 2011
SEC Adopts Rule Defining “Venture Capital Fund” For Purposes of Exemption From The Investment Advisers Act

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

August 25, 2011
Insider Trading: Investment Research and Insider Trading on “Outside Information”

August 19, 2011
Preferred Stock — Not So Preferred After All

August 12, 2011
New Privacy Bills Introduced In The House of Representatives Would Affect Business Across Industries

August 9, 2011
New Insurance Products Protect Against Costs of FCPA Investigations

August 4, 2011
SEC Adopts Large Trader Reporting System

August 4, 2011
Delaware Court of Chancery Reiterates the Primacy of Contract Principles in the Context of Interpreting the Rights of Preferred Stockholders

August 4, 2011
IRS Releases Timeline For Implementing FATCA, Including Delaying The Deadline Until 2014 For Foreign Financial Institutions’ Compliance With Certain Provisions

August 3, 2011
Frequency of “Say-On-Pay” Votes: Reminder — Disclosure May Still Be Required

August 2011
FDIC Issues Final Rule On Orderly Liquidation Authority

August 2011
SEC Fines Three Brokerage Executives for Regulation S-P Violations

August 2011
Federal Circuit Review - Doctrine of Equivalents

July 2011
Vermont AG Settles Data Breach Enforcement Action For $55,000

July 26, 2011
D.C. Circuit Vacates SEC “Proxy Access” Rules

July 22, 2011
Second Circuit Issues Long-Awaited Opinion In CSX Litigation

July 15, 2011
CFTC Provides Temporary Dodd-Frank Relief

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

July 8, 2011
FDIC Issues Final Rule on Orderly Liquidation Authority

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

July 5, 2011
SEC Adopts Rule Defining “Venture Capital Fund” For Purposes of Exemption From The Investment Advisers Act

July 2011
Key Congressional Leaders Advance Efforts To Strengthen Consumer Privacy Protections

June 30, 2011
SEC Adopts Rules Implementing Dodd-Frank Investment Adviser Exemptions and Registration Requirements

June 29, 2011
SEC Adopts Rule Defining “Family Office” For Purposes of Exclusion From The Advisers Act

June 27, 2011
CMBS Certificateholders Shut Out

June 27, 2011
The SEC Fines Three Brokerage Executives For Regulation S-P Violations

June 23, 2011
Supreme Court Adopts Rule Of Narrow Construction for Rule 10b-5

June 23, 2011
Second Circuit Reverses “Hot News” Judgment Against Theflyonthewall.com For Publishing Broker Buy-Sell Recommendations

June 23, 2011
PCAOB Foreign Inspections – A Chinese Conundrum

June 22, 2011
PCAOB Foreign Inspections – A Chinese Conundrum

June 22, 2011
SEC Extends Adviser Registration Deadline, Adopts Dodd-Frank Amendments To Investment Advisers Act

June 20, 2011
Treasury Department Agencies Extend The “FBAR” Deadline For Some Filers With Signature Authority Over Foreign Financial Accounts

June 15, 2011
SEC Proposes To Disqualify Certain Persons From Reliance On Private Placement Safe Harbor

June 13, 2011
Supreme Court Holds That Rule 10b-5 Must Be Construed Narrowly

June 9, 2011
Summary of the Consumer Privacy Protection Act (H.R. 1528)

June 9, 2011
Summary of the Do-Not-Track Online Act of 2011 (S. 913)

June 9, 2011
Summary of the Commercial Privacy Bill of Rights Act of 2011 (S. 799)

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

June 9, 2011
Key Congressional Leaders Introduce Legislation To Protect The Privacy of Consumer Online and Offline Information

June 2011
Understanding The Terms Of Security Agreements

June 2011
The Halliburton Oral Arguments: The Supreme Court Grapples with the Role of Loss Causation in Class Certification

June 2011
Federal Circuit Review - Infringement

June 1, 2011
Reminder: Reports of Foreign Bank and Financial Accounts Are Due On Or Before June 30, 2011

June 1, 2011
SEC Proposes To Increase Thresholds For Adviser Performance Fees

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

May 27, 2011
SEC Adopts Final Rules For Whistleblower Claims; Exclusions From Potential Whistleblowers Significantly Cut Back

May 26, 2011
CFTC Adopts Relief For Commodity ETFs

May 25, 2011
Cohabitation des espaces industriels et résidentiels : arbitrage constitutionnel à l’aune de la Charte de l’environnement

May 24, 2011
SEC Approves Delay For Implementation of FINRAs Anti-Spinning Rule Until September 26 2011

May 20, 2011
Securities and Exchange Commission Enters Into First Deferred Prosecution Agreement

May 18, 2011
Recordkeeping and Reporting For Historical Swaps

May 17, 2011
SEC Holds Roundtable on Money Market Funds and Systemic Risk

May 16, 2011
Trade Groups and Privacy Advocates Offer Comments on FTC’s Proposed Privacy Framework

May 6, 2011
Federal Agencies Issue Proposed Rule Regarding Financial Institutions’ Incentive-Based Compensation

May 4, 2011
Treasury Proposes To Exclude FX Swaps and FX Forwards From Most CFTC Oversight

Spring 2011
The Federal Circuit's Interpretation and Application of the MedImmune Standard For Declaratory Judgment Jurisdiction

May 1, 2011
Investment Lawyer (January 2000 to present), The Regulated Investment Company Modernization Act of 2010

April 2011
Federal Circuit Review - Claim Construction

April 25, 2011
In a Split 7-5 Ruling, The En Banc Federal Circuit Affirms a $90 Million Contempt Sanction For Violating Injunction

April 21, 2011
FINRA Asks SEC To Delay Implementation of Anti-Spinning Rule To September 26 2011

April 14, 2011
Effects Of Roswell V. Alternative Construction

April 14, 2011
NCLC Urges the U.S. Supreme Court to Allow Loss Causation to be Considered at the Class Certification Stage of 10b-5 Civil Actions

April 11, 2011
SEC Expects To Consider Extending The Private Adviser Registration Deadline Until The First Quarter of 2012

April 5, 2011
Proposed Risk Retention and Excess Spread Reserve Account Requirements For Securitized Commercial Mortgages

April 2011
Second Circuit Court Of Appeals Holds “Gift” From Secured Creditor To Shareholder Under A Chapter 11 Plan Violates Absolute Priority Rule

April 1, 2011
Update on Foreign Bank and Financial Account Reporting: IRS Issues Revised FBAR Form and Instructions

March 30, 2011
Federal Reserve and FDIC Propose New Rules Regarding Preparation of “Living Wills”

March 29, 2011
Legal Effect of Erroneous Filing of a Uniform Commercial Code Termination Financing Statement

March 24, 2011
Supreme Court Reaffirms “Total Mix” Standard For Assessing Materiality In Federal Securities Actions

March 21, 2011
SEC Proposes to Readopt Beneficial Ownership Rules to Clarify Treatment of Security-Based Swaps Under The Dodd-Frank Act

March 21, 2011
Federal Circuit Holds That Heightened Pleading Requirements Apply to False Marking Actions

March 17, 2011
FDIC Proposes New Orderly Liquidation Authority Rules Addressing Executive Compensation Clawback Priority of Claims and Administrative Claims Procedures

March 16, 2011
Treasury Department Issues Revised Rules For Reporting Foreign Financial Accounts

March 15, 2011
Summaries of Privacy Legislation Introduced by Reps. Speier and Rush

March 15, 2011
Congress Expected To Consider Privacy Legislation This Year That Could Impose Comprehensive Requirements on a Wide Range Of Businesses

March 10, 2011
Senate Passes Patent Reform Bill

March 10, 2011
SEC Approves Proposed Rule Regarding Financial Institutions’ Incentive-Based Compensation

March 8, 2011
FINRA’S Anti-Spinning Rule’s Impact on Private Funds

March 4, 2011
SEC Files Contested Administrative Proceeding Against Former Director For Insider Trading

March 2, 2011
The Fiduciary Duty Of Insurance Brokers In NY

March 2011
Federal Circuit Review - § 101 Patentability

March 2011
Regulated Investment Company Modernization Act of 2010 Passed

March 2011
California Court Rejects The Enforceability Of A Delaware Forum Selection Clause In Corporate Bylaws

February 28, 2011
SEC and CFTC Propose Private Fund Reporting Rules; Agencies Introduce New Forms PF, CPO-PQR AND CTA-PR; CFTC Proposes To Limit Registration Exemptions

February 24, 2011
Trans-Pacific Partnership: A Current Policy Assessment

February 17, 2011
Delaware Chancery Court Upholds Use of Poison Pill Against Hostile Tender Offer

February 17, 2011
Delaware Court Preliminarily Enjoins Del Monte Buyout and Protective Deal Provisions

February 15, 2011
Federal Reserve Board Proposes Rule On Key Definitions Covering Regulation of Nonbank Financial Companies

February 15, 2011
Second Circuit Court of Appeals Holds “Gift” From Secured Creditor To Shareholder Under A Chapter 11 Plan Violates Absolute Priority Rule

February 15, 2011
Proposed Definitions of Major Swap Participant and Major Security-Based Swap Participant

February 14, 2011
Proposed Definitions of Swap Dealer and Security-Based Swap Dealer

February 7, 2011
New York City Requires Solicitors of City Pension Systems To Register As Lobbyists

February 3, 2011
Forum Selection Bylaw Clause Rejected by Court

February 2, 2011
Commodity Pools As ECPs After The Dodd-Frank Act

February 1, 2011
New Patent Reform Bill Introduced In Senate

February 2011
Federal Circuit Review - § 112 Requirements

February 2011
California Requires Solicitors Of State Retirement Systems To Register As Lobbyists: Implications For Investment Managers

February 1, 2011
SEC Chief Accountant of Corporation Finance Warns Against Over-Reliance on ABA “Treaty” In Reporting Litigation Contingencies

January 28, 2011
Financial Stability Oversight Council Releases Notice of Proposed Rulemaking Regarding Supervisory Authority Over Certain Nonbank Financial Companies

January 27, 2011
Culture Shock: Private Equity Under The Microscope

January 27, 2011
FINRA Proposes To Further Regulate Certain Private Placements Sold By Broker-Dealers

January 26, 2011
SEC Proposes Rules to Clarify Accredited Investor Net Worth Standard

January 26, 2011
The UK’s ICO Issues First Fines For Privacy Violations

January 26, 2011
Commodity Futures Trading Commission Proposes To Repeal Exemptions

January 26, 2011
Financial Stability Oversight Council Publishes Study & Recommendations On Prohibitions On Proprietary Trading & Certain Relationships With Hedge Funds & Private Equity Funds

January 25, 2011
FTC Revises HSR Thresholds and Section 8 Thresholds

January 20, 2011
SEC Investigating Financial Industry’s Compliance with the Foreign Corrupt Practices Act When Dealing With Sovereign Wealth Funds

January 13, 2011
Recent Changes to The Tax Laws Present Estate Planning Opportunities

January 10, 2011
Regulated Investment Company Modernization Act of 2010 Enacted Into Law

January 7, 2011
California Court Rejects the Enforceability of a Delaware Forum Selection Clause in Corporate Bylaws

January 6, 2011
SEC Extends The Compliance Date For New Part 2B of Form ADV

January 3, 2011
Summary of The FTC’s Proposed Privacy Framework

January 2011
Auskunfts- und Einsichtnahmerechte des Aufsichtsrats - Deloitte, Corporate-Governance-Forum

January 2011
New Corporate Sentencing Guidelines Provide Guidance Regarding What Constitutes An Effective Corporate Compliance Program

December 30, 2010
California Requires Solicitors of State Retirement Systems to Register as Lobbyists

December 29, 2010
Employers Should Begin Preparing For Compliance With The New York Wage Theft Prevention Act Required in Early 2011

December 20, 2010
Employers Should Begin Preparing For Incentive Stock Option and Employee Stock Purchase Plan Reporting Required In Early 2011

December 7, 2010
Delaware Clarifies Application of Mandatory Redemption Rights

December 6, 2010
SEC Issues Proposed Rules For Whistleblower Claims

December 3, 2010
CFTC Seeks Comments On Trading Practices

November 23, 2010
Objections to the Jurisdiction of the Arbitration Tribunal Under the US Federal Arbitration Act: How to Preserve the Right to Judicial Review

November 23, 2010
SEC Proposes Rules Implementing Dodd-Frank Investment Adviser Registration and Reporting Requirements

November 22, 2010
Recent SEC Market Structure Initiatives

November 22, 2010
New York Court of Appeals Stands Firm on Imputation In Pari Delicto In Suits Against Outside Professionals

November 16, 2010
Commercial Litigation in New York State Courts

November 11, 2010
New Corporate Sentencing Guidelines Provide Guidance Regarding What Constitutes An Effective Corporate Compliance Program

November 10, 2010
Case Study: Kirschner V. KPMG

November 9, 2010
SEC Postpones Compliance Date For New Short Sale Price Test

November 5, 2010
SEC Proposes Rule To Require Institutional Investment Managers To Report Proxy Voting On Executive Compensation

November 4, 2010
Department of Labor Proposes Expanded Definition of “Fiduciary” Under ERISA

November 3, 2010
Privacy Rules Reminder: New Safe Harbor Effective January 1, 2011

November 2010
In The Wake Of Bilski, U.S. Patent Office Issues Guidelines For Determining Whether Method Claims Recite Eligible Subject Matter

November 2010
Federal Circuit Review - Obviousness

November 1, 2010
CFTC and SEC Adopt Interim Swaps Reporting Rules

October 23, 2010
Court Reinstates Insider Trading Claim Against Mark Cuban

Fall 2010
The Wall Street Transparency and Accountability Act: Implications for Derivatives Markets Participants

October 20, 2010
U.S.-China Section 301 Case Concerning Green Technologies and Rare Earth Metals: Clash of the Titans?

October 15, 2010
SEC Proposes Rule Defining “Family Office”

October 12, 2010
SEC Proposes Enhanced Disclosure and Issues Interpretive Guidance Regarding Short-Term Borrowings

October 11, 2010
NYSE Commission Report Outlines Key Corporate Governance Principles

October 6, 2010
Heikle Gratwanderung bei der Aufklaerung von Rechtsverstoessen - Frankfurter Allgemeine Zeitung

October 6, 2010
ABB Ltd. Settles FCPA Charges

October 5, 2010
SEC Delays Effectiveness of “Proxy Access” Rules

October 2010
Federal Circuit Ignites Interest In False Patent Marking Lawsuits

October 2010
Federal Circuit Review - Anticipation

September 29, 2010
En Banc Federal Circuit Decision Clarifies Permissible Conduct By Patent Pools and Other Joint Ventures Under The Patent Misuse Doctrine

September 29, 2010
The SEC Imposes Sanctions for Violations of Exchange Act Rule 105 in Case Analyzing the Application of the “Separate Accounts” Exception to the Rule

September 29, 2010
Practical Implications of “Proxy Access” For Mutual Funds

September 27, 2010
The Accidental Tipper: Personal Benefit Requirement for Insider Trading

September 23, 2010
CFTC Proposes Reporting System To Identify Account Owners and Controllers

September 23, 2010
Fifth Circuit Reinstates SEC Insider Trading Claim Against Mark Cuban

September 23, 2010
U.K. Ministry of Justice Opens Consultation Period Regarding Draft “Adequate Procedures” Guidance Under The U.K. Bribery Act

September 20, 2010
CFTC Proposes Relief For Commodity ETFs

September 20, 2010
CFTC Seeks Public Comment on NFA’s Petition to Restore Restrictions on Mutual Funds That Trade Commodities

September 20, 2010
The FTC Proposes Significant Amendments to The Hart-Scott-Rodino Form and Rules That Would Impact Reporting Obligations of Investment Funds

September 20, 2010
The FTC Proposes Significant Amendments to The Hart-Scott-Rodino Form and Rules: Obligations to Disclose Documents to Increase; Obligations to Provide Revenue Data to Change

September 16, 2010
NCLC Urges United States Supreme Court to Reverse Expansion of Implied Private Right of Action for Securities Fraud

September 10, 2010
Supreme Court Limits Development of Single-Enterprise Doctrine

September 2010
The New Normal In Acquisition Finance Commitments

September 7, 2010
Recent Corrective Revisions To The New York State Power of Attorney Law

September 2, 2010
Entire Fairness as a Limit on Control - Delaware Further Erodes the Business Judgment Rule in Transactions with Controlling Stockholders

September 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

September 2010
Aktuelle Rechtsentwicklungen in den USA – Einflussnahme auf europaeische Unternehmen - Corporate Finance Law

September 2010
Creditors Beware: Lessons from Recent Court Decisions (Practical Law The Journal, pp 66-79)

September 2010
Morrison v. National Australia Bank: The Supreme Court Addresses The Extraterritorial Application Of U.S. Securities Laws

September 2010
Important Decision In Credit Default Swap Litigation

August 26, 2010
The "Data Security Act of 2010" Would Establish New Federal Breach Notification and Data Security Requirements - NYMITY

August 26, 2010
Insurance Industry Implications of The Dodd-Frank Act

August 26, 2010
SEC Adopts “Proxy Access” Rules To Facilitate Director Nominations By Shareholders

August 25, 2010
Sweeping Economic Sanctions Against Iran: Now What?

August 24, 2010
First Department Decision Raises Drafting Issue for Arbitration Clauses

August 17, 2010
SEC Adopts New Part 2 of Form ADV

August 17, 2010
Shareholder Inspection Rights: Delaware Supreme Court Provides Guidance To Shareholders Seeking Corporate Books and Records To Investigate Suitability of Directors To Serve

August 2010
The Rules Governing Who Decides Jurisdictional Issues: First Options v. Kaplan Revisited

August 3, 2010
The European Union Adopts Sweeping Economic Sanctions Against Iran in the Wake of the U.S. and UN Actions to Increase Pressure on Iran and Major Oil Companies and Suppliers of Refined Petroleum

August 2, 2010
U.S. Patent Office Publishes Guidelines For Determining Whether Process Claims Cover Eligible Subject Matter In The Wake of The Supreme Court’s Bilski Decision

July/August 2010
The Board And Risk Management

August 2010
Financial Reporting After The Subprime Crisis: New Challenges For Audit Committees – Part II

July 28, 2010
SEC Proposes Substantial Changes In Mutual Fund Distribution Regulatory Scheme

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

July 27, 2010
Dodd-Frank Provisions Address Executive Compensation and Corporate Governance

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

July 25, 2010
Forum Non Conveniens Defeats Shareholder Litigation on Cross-Border Mergers

July 23, 2010
The Wall Street Transparency and Accountability Act: Implications For Derivatives Markets Participants

July 23, 2010
The Dodd-Frank Act Overhauls The Regulation of Private Fund Managers and Other Money Managers

July 22, 2010
Recent Case Interpreting Subordination Provisions Highlights Need For Careful Drafting

July 21, 2010
Immediate Change In Accredited Investor Requirements In Dodd-Frank Act

July 19, 2010
A Pyrrhic Victory For Preferred Stockholders

July 2010
Capital Markets Germany Update

July 16, 2010
SEC Issues Concept Release On Proxy Mechanics

July 16, 2010
Court of Appeals of New York Confirms That Lenders Need Not Perform Independent Diligence In Connection With Representations Given In A Credit Agreement

July 15, 2010
Three Years Later: The New Normal in Acquisition Finance Commitments

July 2010
Financial Reporting After The Subprime Crisis: New Challenges For Audit Committees – Part I

July 13, 2010
New U.S. Sanctions Law Targets Foreign Support For Iran’s Petroleum Industry

July 9, 2010
SEC Adopts New Rule Designed to Deter Pay-To-Play Activities by Investment Advisers

2010/11
Data Security: Breach Notification

July 2010
Federal Circuit Review - Venue and Jurisdiction

July 2010
Anti-Corruption Measures Legally Established as a Task of Compliance - DAI Deutsches Aktieninstitut, Finanzplatz

July 1, 2010
National Futures Association Petitions Commodity Futures Trading Commission to Restore Restrictions on Mutual Funds that Trade Commodities

July 1, 2010
Supreme Court’s Split Decision In Bilski Upholds The General Patentability of Business Methods and Rejects The Machine-Or-Transformation Test as The Sole Framework For Identifying Patentable Processes

July 1, 2010
In Re Cadbury and In Re Alcon: Forum Non Conveniens Defeats U.S. Shareholder Litigation Arising From Cross-Border Mergers

June 30, 2010
New York State Considering Taxing Non-Resident Fund Managers

June 29, 2010
Supreme Court Significantly Narrows Scope of Honest Services Fraud Statute In Case Involving Willkie Client

June 28, 2010
Supreme Court Issues Landmark Decision on Extraterritorial Application of U.S. Securities Laws

June 25, 2010
“Special Assessment” on Certain “Financial Companies That Manage Hedge Funds” to be Part of New Financial Reform Law

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

June 17, 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 U.S.

June 15, 2010
The Federal Circuit Clarifies Burden of Proof For Rebutting Intent to Deceive in False Patent Marking Cases

June 10, 2010
Reminder: Certain Foreign Financial Account Reports For 2009 Are Due By June 30, 2010

June 10, 2010
SEC Proposes Consolidated Audit Trail For Trading of Certain Equity Securities

June 2010
United Kingdom Enacts Bribery Act 2010

June 2010
Supreme Court Upholds Gartenberg Standard

June 2010
Overview of The NAIC’S Solvency Modernization Initiative

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

June 2010
Federal Circuit Review - Inequitable Conduct

May 27, 2010
New Merger Guidelines Could Increase Agency Enforcement Discretion

May 25, 2010
Financial Reform Bill Further Regulates The Payment and Disclosure of Executive Compensation by Public Companies

May 25, 2010
Taxation of Carried Interest of Fund Managers at Ordinary Income Tax Rates Under Proposed American Jobs and Tax Closing Loopholes Act of 2010

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

May 19, 2010
New Federal and State Guidance Call For Climate Change Impact Reviews For Development Projects

May 2010
Top Google Executives Found Criminally Liable For Privacy Violations

May 13, 2010
Court of Appeals to Consider Fiduciary Duties of Insurance Brokers

May 3, 2010
Warning to Preferred Stock Investors from Delaware Courts

May 2010
Internal Investigations bei Compliance-Verstoessen - DAI

May 2010
Internal Investigations – ein Spagat zwischen Compliance-Anforderungen und Datenschutz - HR Performance

May 2010
Federal Circuit Review - Remedies

April 30, 2010
The Federal Circuit Interprets The False Patent Marking Statute

April 23, 2010
Princo Corp. v. ITC

April 22, 2010
SEC Proposes Large Trader Reporting System

April 21, 2010
SEC, CFTC, FTC, and Other Financial Regulators Release Model Consumer Privacy Notice Online Form Builder

April 20, 2010
Important Decision In Credit Default Swap Litigation

April 19, 2010
United Kingdom Enacts Bribery Act 2010

April 19, 2010
NAIC Highlights – Spring 2010 National Meeting

April 15, 2010
First Quarter of 2010 Shows Sharp Increase In FCPA Enforcement

April 14, 2010
FINRA Fines Broker-Dealer For Its Failure To Protect Confidential Customer Information From Hackers

April 9, 2010
Financial Reporting After the Subprime Crisis: New Challenges For Audit Committees

April 8, 2010
FTC Probe Discovers Widespread Data Breach Involving Peer To Peer Sharing and Provides Guidance to Businesses on Protecting Sensitive Information

April 5, 2010
A New Equitable Subordination/Lender Liability Lawsuit: Tribune Company Bondholder Group Sues Banks Over Failed Leveraged Buyout

April 2, 2010
Supreme Court Upholds Gartenberg Standard

April 1, 2010
Supreme Court Emphasizes Role of Deference to Independent Directors in Mutual Fund Fee Litigation

April 2010
Federal Circuit Review - Doctrine of Equivalents

April 1, 2010
Drug Approval Pathway Established For Biosimilar Drugs

April 2010
SEC Adopts Money Market Fund Reforms

March 31, 2010
Recent Developments In F-Cubed Securities Class Actions

March 29, 2010
SEC Push for Broader 'Primary' Liabilty Could Be Boon to Plaintiffs, Lawyers Say

March 25, 2010
HIRE Act’s Effects on Investment Funds

March 24, 2010
Federal Circuit Holds En Banc Rehearing of Patent Misuse Case Affecting Patent Pools and Other Joint Ventures

March 24, 2010
CPO Quarterly Reporting To Begin In May 2010

March 23, 2010
Implications of Senator Dodd’s Financial Reform Proposal For Private Fund Managers and Other Money Managers

March 19, 2010
RiskMetrics Group Introduces Governance Risk Indicators (GRId)

March 19, 2010
HIRE Act Provides Employers With Tax Incentives to Hire Unemployed Workers

March 19, 2010
TARP Fraud: A New Federal Crime Is Born?

March 18, 2010
SEC Adopts Short Sale Price Test

March 17, 2010
The Board and Risk Management

March 15, 2010
Massachusetts Data Security Regulations Effective On March 1, 2010

March 12, 2010
First Circuit Rejects Primary Rule 10b-5 Liability for Underwriters

March 2010
New Developments In Securities Litigation

March 12, 2010
The First Circuit Rejects Primary Rule 10b-5 Liability For Underwriters

March 10, 2010
Congress Targets The Business Of Health Insurance For Increased Antitrust Scrutiny

March 4, 2010
Germany’s Highest Court Voids Data Retention Law on Privacy Grounds

March 3, 2010
Treasury Department Announces Delay of Certain FBAR Requirements and Proposes New FBAR Regulations

March 2, 2010
SEC Adopts Money Market Fund Reform Rules

March 2, 2010
Top Google Executives Found Criminally Liable for Privacy Violations

March 1, 2010
An Expert's View: Developments in Mandatory Prepayment Provisions

March 2010
Federal Circuit Review - Infringement

March 2010
Fraud Law Developments

March 2010
SEC Announces Measures to Encourage Cooperation and Names Specialized Unit Chiefs

March 2010
Cloud Computing Understanding The Issues

February 25, 2010
New York Appellate Court Provides Guidance On When A Financing Term Sheet Is Not A Binding Agreement To Lend

February 24, 2010
SEC Adopts Short Sale Price Test

February 24, 2010
U.S. Supreme Court Adopts “Nerve Center” Test For Diversity Jurisdiction

February 22, 2010
New International List of 28 Countries With Deficient Anti-Money Laundering and Terrorist Financing Regimes Should Prompt Compliance Reviews

February 18, 2010
Registered Funds Face New Disclosure Obligations Under Amended SEC Executive Compensation Disclosure Rules

February 17, 2010
CFTC Proposes Speculative Position Limits For Referenced Energy Contracts

February 16, 2010
SEC Proposes Amendments To Issuer Share Repurchase Safe Harbor

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

February 10, 2010
New SEC Climate Change Disclosure Obligations For All Filers Effective Immediately

February 5, 2010
U.S. Senate Hearing On Foreign Corruption May Result In New Anti-Money Laundering Rules For Some U.S. Businesses

February 3, 2010
New York Insurance Department Appoints New York Insurance Exchange Working Group

February 2010
Federal Circuit Review - Claim Construction

February 2010
Recent Developments in Government Investigations of Financial Fraud

January 29, 2010
SEC Imposes First Sanctions for Violations of Amended Rule 105

January 29, 2010
Reminder: Annual Update of Form ADV and Annual Requirement To Confirm Status of Investors Under The New Issue Rule

January 28, 2010
SEC Updates Compliance and Disclosure Interpretations For Non-GAAP Financial Measures

January 27, 2010
Further SEC Action on Market Structure Issues

January 25, 2010
FTC Decreases HSR Thresholds and Section 8 Thresholds

January 20, 2010
SEC Brings FCPA Charges Based On Extorted Payments

January 14, 2010
SEC Announces Measures To Encourage Cooperation and Names Specialized Unit Chiefs

January 13, 2010
Delaware Chancery Court Ruling Opens The Door To State Fraud Claims Based on Schedule 13D and 13G Disclosures

January 13, 2010
SEC Imposes Additional Corporate Governance and Compensation Disclosure Requirements

January 12, 2010
IRS Establishes Corrections Program for Documentary Noncompliance under Section 409A of the Internal Revenue Code

January 11, 2010
SEC Adopts Amendments to The Advisers Act Custody Rule

January 5, 2010
Recent Enforcement Actions by U.K. Serious Fraud Office and Introduction of New U.K. Bribery Bill in Parliament Demonstrate Increased Focus on Corruption

January 2010
Federal Circuit Review - § 101 Patentability

January 2010
A Bankruptcy Saga For The History Books

January 2010
SEC, CFTC, FTC, and Other Financial Regulators Amend Their GLBA Rules and Adopt Model Privacy Form - Privacy & Data Security Law Journal

December 31, 2009
SEC Proposes Amendment to Permit Pre-Filing Offerings By Underwriters Acting on Behalf of Well-Known Seasoned Issuers

December 30, 2009
Regulated Investment Company Modernization Act of 2009

December 30, 2009
Tax Extenders Act of 2009: Impact on Hedge Funds, Mutual Funds and Investment Advisers

December 29, 2009
Issues of Proof In Climate Change Litigation

December 29, 2009
NAIC Highlights — Winter 2009 National Meeting

December 24, 2009
SEC Issues Guidance on The Effective Dates of The New Executive Compensation Disclosure Rules

December 23, 2009
Estate and Gift Tax In 2010

December 18, 2009
SEC Adopts Amendments to The Advisers Act Custody Rule

December 18, 2009
Fifth Circuit Court of Appeals Issues Opinion Holding That Federal Law Trumps State Anti-Arbitration Insurance Statute

December 17, 2009
SEC Finalizes Amendments To Executive Compensation Disclosure Rules

December 14, 2009
Lender 'Collective Action' Doctrine Provokes Controversy

December 2009
Federal Circuit Review - § 112 Requirements

December 2009
Proposed U.S. Foreign Account Tax Compliance Act: Impact on Hedge Funds

December 2009
World Securities Law Report

December 2009
Federal Circuit Review Update - § 112 Requirements

November 25, 2009
SEC Brings First Regulation G Enforcement Action

November 25, 2009
SEC, CFTC, FTC, and Other Financial Regulators Amend Their GLBA Rules and Adopt Model Privacy Form

November 25, 2009
Florida Bankruptcy Court Calls Into Question Enforceability of “Savings Clauses” In Upstream Guaranty Agreements

November 25, 2009
Recent Developments In Government Investigations of Financial Fraud

November 24, 2009
Businesses Planning on Giving Holiday Gifts to their Contacts at Certain U.S. Financial Firms Should be Aware of the Federal Bank Bribery Act

November 24, 2009
SEC Proposes Rules To Increase Disclosure By “Dark Pools”

November 19, 2009
CPO Alert: CFTC Adopts Amendments To Regulations Governing Periodic and Annual Financial Reports

November 16, 2009
The Impact of New Iran Sanctions

November 6, 2009
SEC Extends Compliance Date For New Regulation S-AM To June 1, 2010

November 2, 2009
CFTC Begins Designating Significant Price Discovery Contracts

November 1, 2009
Federal Circuit Review - Obviousness

November 2009
Federal District Court In Mark Cuban Case Issues Decision On Misappropriation Theory of Insider Trading

October 29, 2009
Impact On Hedge Funds of Joint Bill of House Ways and Means and Senate Finance Committees On Offshore Taxation

October 2009
The SEC’s Pay-To-Play Rule Proposal for Investment Advisers

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

October 22, 2009
REIT Corporate Governance In The New Environment: New Regulatory Framework Could Spur Changes and Reignite Focus on Old Governance Issues

October 9, 2009
NAIC Highlights — Fall 2009 National Meeting

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

October 7, 2009
NFA Adopts New Compliance Rules Governing Registered Commodity Pool Operators

October 2009
The Future of Secondary Actor Liability Under Rule 10(B)-5 After Stoneridge Investment Partners, LLC v. Scientific-Atlanta, Inc.

October 2009
Neil Barofsky: Bringing Transparency To TARP

October 2009
Federal Circuit Review - Anticipation

October 2009
In re Flag Telecom: Additional Limitations on the Scope of Securities Class Actions at the Class Certification Stage

October 2009
SEC Examinations and Enforcement in the Post-Madoff Era The SEC’s Inspector General’s Report Harshly Details the SEC’s Failure to Uncover the Madoff Scheme, Offers Road Map to Future Enforcement Policies

September 30, 2009
New Iran Sanctions Could Target Insurers, Reinsurers of International Trade and Petroleum Industry Transactions

September 28, 2009
Notable Deal Terms: Acquisition of Parallel Petroleum by Apollo Global Management, LLC

September 28, 2009
New SEC Regulation S-AM to Limit Consumer Marketing By Registered Investment Advisers, Brokers, Dealers, Investment Companies and Registered Transfer Agents Based Upon Information Received From Their Affiliates

September 24, 2009
“Just Vote No” Campaigns In Uncontested Director Elections —Renewed Vitality For The 2010 Proxy Season

September 23, 2009
SEC Proposes to Ban Flash Trading

September 23, 2009
Update: IRS Extends Deadline For Reporting Certain Offshore Accounts to October 15, 2009

September 22, 2009
Implications of the ‘Bad Faith Filing’ Decision in GGP’s Bankruptcy Proceeding

September 21, 2009
Recent Changes to the New York Power of Attorney Law

September 9, 2009
IRS Provides Relief For “Check-The-Box” Elections That Are Up To Three Years Late

September 3, 2009
NCLC Urges Supreme Court Not To Permit Litigation Explosion Concerning Mutual Fund Fees

Fall 2009
Are Polymorphisms Like Thin Skulls?

September 1, 2009
Shareholder Opportunities To Create Value At Underperforming Portfolio Companies

September 2009
The Special Inspector General for TARP: The New Enforcer and the Next Wave of Investigations

August 25, 2009
Implications of The Recent “Bad Faith Filing” Decision In General Growth Properties’ Bankruptcy Proceeding

August 25, 2009
SEC Invokes Sarbanes-Oxley Clawback Provision Without Alleging Wrongdoing By Defendant

August 24, 2009
Massachusetts Again Revises Its Data Security Regulations and Extends Compliance Deadline Until March 1, 2010

August 21, 2009
Federal Circuit Holds That Method Claims Are Not Infringed When Devices For Practicing The Method Are Exported

August 21, 2009
Internal Revenue Service Issues Procedural Guidance in Tax Relief in Debt Restructurings

August 20, 2009
Comment Period for Proposed Amendments to Regulation SHO Re-Opened

August 14, 2009
Avery Dennison Settles FCPA Charges Related To Conduct In China, Indonesia, and Pakistan

August 14, 2009
Update: FBAR Deadline Postponed To June 30, 2010 For Certain Accounts

August 13, 2009
Second Circuit Issues Ruling With Major Implications On Scope of Securities Class Actions

August 12, 2009
SEC Proposes New Rule Intended To Address Pay-To-Play Activities By Investment Advisers

August 10, 2009
SEC Enforcement Director Robert Khuzami Addresses New Initiatives During His First 100 Days

August 10, 2009
SEC Announces Settlement of Enforcement Actions Targeting “Naked” Short Sales

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

August 6, 2009
SEC Adopts Final Rule 204 of Regulation SHO To Reduce Fails To Deliver

August 4, 2009
Second Circuit Affirms Dismissal of Securities Fraud Claims Against Investment Adviser That Failed to Detect a Ponzi Scheme

July 31, 2009
Implications of Proposed U.S. Financial Regulatory Reform for Non-U.S. Fund Managers

July 29, 2009
SEC Ends Form SH Filing Requirement and Announces Increased Disclosure Concerning Short Sales

July 21, 2009
Federal District Court In Mark Cuban Case Issues Decision on Misappropriation Theory of Insider Trading

July 20, 2009
Investor Convicted On FCPA-Related Charges

July 14, 2009
SEC Proposes Amendments To Executive Compensation Disclosure

July 13, 2009
Proposed Changes To Article 9 of The Uniform Commercial Code Affecting Perfection of Security Interests Against Individuals

July 10, 2009
Discretionary Voting By Brokers Prohibited In Director Elections

July 10, 2009
SEC Proposes New Money Market Fund Rules — Significant Areas of Uncertainty Remain

July 8, 2009
SEC Issues Guidance On “Say-On-Pay” Vote For TARP Recipients

July 6, 2009
Court Toughens Application of Rule 8 Pleading Standards for Civil Cases

July 2009
Federal Circuit Review - Venue and Jurisdiction

July 2009
Failed Financial Institution Litigation: Remember When

July 2009
TARP Enforcement: Latest Developments And Insights

June 30, 2009
The SEC’s Proposed “Proxy Access” Rules: Boon To “Accidental” or “Reluctant” Activists?

June 26, 2009
Obama Administration’s Plan For Financial Regulation Reform

June 25, 2009
Update: IRS Issues More Foreign Financial Account Guidance, Including Amnesty For Certain Late Filers Until September 23, 2009

June 25, 2009
President Obama’s Proposals For Regulation of the OTC Derivatives Market

June 25, 2009
NAIC Highlights — Summer 2009 National Meeting

June 23, 2009
SEC Proposes “Proxy Access” Rules To Facilitate Director Nominations By Shareholders

June 19, 2009
Update: Foreign Financial Account Reports and Non-U.S. Investment Funds

June 19, 2009
SEC Updates Guidance On Executive Compensation Disclosure

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

June 18, 2009
President Obama Announces Proposed New Oversight Requirements for Private Fund Managers

June 16, 2009
SEC Finds Investment Adviser Overvalued Mortgage-Backed Securities and Engaged In Prohibited Cross-Trades

June 11, 2009
The Case for the Automatic Multidistrict Litigation Stay

June 11, 2009
Reminder: Foreign Financial Account Reports Are Due

Summer 2009
Why Principles of Federalism and Communitarianism Demand That Tort Law Be Left Up To The States - The Georgetown Journal of Law & Public Policy

June 2009
Federal Circuit Review - Inequitable Conduct

June 2009
Government Procurement of Software: Provident Policies for Ensuring the Greatest Possible Return on Investment in Troubled Economic Times

May 29, 2009
Product-By-Process Claims Of Patents Are Limited To Products Made By The Recited Process

May 28, 2009
New FINRA Rule On Member Private Offerings

May 28, 2009
Supreme Court To Review “Inquiry Notice” Standard For Securities Fraud Actions

May 27, 2009
SEC Proposes Changes To The Advisers Act Custody Rule To Increase Reliance On Auditors

May 22, 2009
New IRS Rulings on Taxation of Investments in Life Insurance Contracts

May 22, 2009
Current Efforts to Regulate the OTC Derivatives Market

May 19, 2009
A Primer on Securities Litigation and Enforcement in an Economic Crisis

May 19, 2009
The Special Inspector General For TARP: The New Enforcer and The Next Wave of Investigations

May 18, 2009
Supreme Court Toughens and Broadens Application of Heightened Pleadings Standards

May 14, 2009
CalPERS, Nation’s Largest Public Pension Fund, Adopts New Policy On Placement Agents

May 14, 2009
Maryland Prohibits Minimum Resale Price Maintenance -- Other Jurisdictions May Follow

May 8, 2009
SEC Action Indicates Increased Enforcement Investigations Into Hedge Funds and Derivatives

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

May 5, 2009
Status Update On Federal Government Financial Market Initiatives

May 2009
Anti-Corruption Compliance in International Business - Finanzplatz

May 2009
Federal Circuit Review - Remedies

April 24, 2009
SEC Sanctions Investment Adviser For Misleading Investors About The Quality and Rigor of Its Due Diligence Process For Evaluating Hedge Fund Investments

April 23, 2009
New York State Insurance Department Proposes Regulation To Establish Mandatory Catastrophe Reserve Funds

April 21, 2009
Broker-Dealer Regulation S-P Violations Result In Monetary Penalty and Other Sanctions

April 17, 2009
Eighth Circuit Provides For A Revised Standard For Review of Mutual Fund Advisory Fees

April 15, 2009
Seventh Circuit Court of Appeals Issues Decision Limiting Judicial Oversight of Merger Litigation

April 13, 2009
Proposed Legislation Would Repeal Insurers’ Antitrust Exemption

April 9, 2009
SEC Requests Comment On New Short Selling Price Tests

April 9, 2009
Adapting Private Business To Climate Change

April 9, 2009
U.S. Representative Sander Levin Reintroduces Legislation Taxing Carried Interests of Fund Managers at Ordinary Income Tax Rates and Restricting Use of Publicly Traded Investment Management Partnerships

April 9, 2009
“Price-Squeeze” Claim Requires Antitrust Duty To Deal and Predatory Pricing

April 3, 2009
New COBRA Legislation: Required Notice Deadline Approaches

April 2, 2009
EPA To Require Reporting of Greenhouse Gas Emissions

April 2009
Federal Circuit Review - Doctrine of Equivalents

April 2009
Forms Under Article 9 of the UCC, Second Edition

April 1, 2009
Fair Value Accounting & Litigation: The Next Wave of Valuation Risk

March 2009
Climate Change Under the Existing Clean Air Act: Developments from 2008 and the Transition to a New Administration

March 2009
Second Circuit Keeps Bar High on Pleading Standards, Affirms Dismissal of Enron Case Against JP Morgan Chase

March 27, 2009
House Financial Services Committee Approves Alternative Executive Compensation Legislation; Demands Company-Specific TARP Documents

March 27, 2009
NAIC Highlights — Spring 2009 National Meeting

March 27, 2009
The Delaware Supreme Court Reverses The Delaware Court of Chancery’s Decision In Ryan V. Lyondell

March 24, 2009
Treasury Announces Public-Private Investment Program

March 23, 2009
New IRS Releases On The Treatment of Investor Losses From Ponzi Schemes

March 18, 2009
Southern District of New York Dismisses Securities Fraud Class Action Alleging Failure To Disclose Contingent Bankruptcy Planning

March 12, 2009
Senate Finance Committee Releases Draft of Alternative Legislation Targeting Offshore Tax Haven Abuse

March 5, 2009
Proposed Legislation Would Tax Many Offshore Hedge Funds and Certain Other Non-U.S. Corporations Managed in the United States

March 4, 2009
President Obama Announces New Antitrust Leadership

March 2, 2009
Hedge Fund Liquidations

March 2, 2009
The Lehman Bankruptcy and Swap Lessons Learned. Negotiating An ISDA Master Agreement in Today’s Market

March 2009
Federal Circuit Review - Infringement

March 2009
IP Issues in Quant Agreements

February 27, 2009
Antitrust Violation Results in Four Year Jail Sentence

February 27, 2009
Compensation Restrictions Under The Latest Stimulus Plan: More Questions Than Answers

February 25, 2009
Delaware Chancery Court Refuses To Hold Citigroup’s Directors Personally Liable For Failing To Monitor Risks Associated With Citigroup’s Subprime Exposure

February 23, 2009
Term Asset-Backed Securities Loan Facility Update: What The Buy-Side Needs To Know

February 20, 2009
Update: Expansion of Web Domains Could Hurt Brands

February 20, 2009
American Recovery and Reinvestment Act of 2009 Provides Significant Tax Relief In Debt Restructurings

February 18, 2009
Twelve Rambus Patents Declared Unenforceable As Sanction For Document Destruction

February 17, 2009
New Prospectus Disclosure Requirements; ICI Provides Additional Guidance on Use of Summary Prospectus

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

February 13, 2009
Court Affirms That, With Safeguards, Competitors May Share Sensitive Due Diligence Information In Connection With A Proposed Merger

February 6, 2009
SEC Issues Final Rules Mandating XBRL Filings

February 3, 2009
Electronic Form D Mandatory On March 16, 2009

February 3, 2009
Alleging Demand Futility In New York State Court Derivative Actions Arising From Stock Options Backdating

February 2, 2009
Treasury Guidance Establishes Reporting Obligations and Clarifies Expanded Applicability of Executive Compensation Standards and Limitations Under TARP

February 2009
Federal Circuit Review - Claim Construction

January 30, 2009
Bill Introduced in Senate to Subject Private Funds and Their Advisers to SEC Registration

January 29, 2009
Second Circuit Issues Significant Securities Decision

January 28, 2009
But I Was the Client: The Attorney-Client Privilege As Applied to Former Officers and Directors

January 22, 2009
FINRA Proposes Expanding Prohibitions on Front Running of Block Transactions

January 22, 2009
Reminder: Annual Update of Form ADV and Annual Requirement to Confirm Status of Investors Under the New Issue Rule

January 21, 2009
FTC Increases HSR Thresholds and Penalty, and Section 8 Thresholds

January 15, 2009
IRS Temporarily Allows Closed-End Funds To Limit The Amount of Cash They Are Required To Distribute

January 14, 2009
Is There A Silver Lining In The Current Economic Recession?

January 13, 2009
CPO Alert: National Futures Association Requires Certain CPO Members to Submit Information Regarding Pool Liquidations, Redemption Restrictions and Madoff-Related Investments

January 12, 2009
New York State Imposes New Restrictions On Employers’ Use of Employee Personal Information

January 9, 2009
SEC Grants Exemptions For Credit Default Swap Exchanges and Central Counterparty

January 9, 2009
Impact of Hedge Fund Redemptions Under ERISA

January 9, 2009
Directors’ Fiduciary Duty During the Credit Crunch

January 7, 2009
Expansion of Web Domains Could Hurt Brands

2009
The Charade of Tradition-Based Substantive Due Process

January 2009
Recent State Data Privacy Laws and Court Decisions Impose Extensive Obligations on Companies that Collect and Process Personal Information - Privacy & Data Security Law Journal

January 2009
Federal Circuit Raises The Bar For Business Method Patents

December/January 2009
SEC Enforcement: A Year in Preview

December 23, 2008
FINRA Requests Comment On Proposed FINRA Rule On Best Execution

December 23, 2008
Form SH Filing Alert

December 19, 2008
Settlement of Section 16(b) Action Based Upon Equity Swap Positions

December 19, 2008
NAIC Highlights — Winter 2008 National Meeting

December 18, 2008
New York Governor Paterson Proposes To Tax Nonresident Partners on Carried Interest

December 18, 2008
French Competition Council Provisionally Suspends Orange’s Exclusivity For iPhone

December 17, 2008
The Madoff Scandal: Money Managers Should Prepare Now For Increased Scrutiny By Investors

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

December 16, 2008
FINRA Guidance On Recent Amendments To FINRA Rules Relating to SEC Regulation M

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

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

December 12, 2008
Directors’ Fiduciary Duties During The Credit Crunch: Three Recent Cases Involving Acquisitions of Financial Institutions

December 2, 2008
Status Update On Treasury, Federal Reserve and FDIC Financial Market Initiatives

December 2008
Federal Circuit Review - § 101 Patentability

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

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

November 26, 2008
New York’s Data Privacy Guide Offers Best Practice Tips For Protecting Personal Information and Preventing Identity Theft

November 26, 2008
Recent SEC Decision Reminds Regulated Entities To Act Promptly and Take Special Care When Responding To SEC Requests

November 24, 2008
House Agriculture Committee Reaffirms Preference For Commodity Futures Trading Commission As Overseer of Credit Default Swaps

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

November 19, 2008
Obama Administration Environmental and Energy Policies Will Focus First On “Clean Energy” and “Green Jobs”

November 17, 2008
SEC Staff Publishes Its “Core Initial Request” For Investment Adviser Examinations

November 14, 2008
Summary of Lehman’s Proposed Procedures For The Settlement or Assumption and Assignment of Prepetition Derivative Contracts

November 14, 2008
Congressional Hearing On The Role of Hedge Funds In The Current Financial Crisis

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

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

November 3, 2008
Federal Circuit Raises The Bar For Business Method Patents

November 3, 2008
Treasury Department Withdraws Proposed Anti-Money Laundering Rules For Unregistered Investment Companies, Investment Advisers, and Commodity Trading Advisors

Winter 2008
Do the PSLRA's Proportionate Liability Provisions Govern Section 20 Control Person Liability?

November 2008
Federal Circuit Review - § 112 Requirements

November 2008
Second Circuit Issues Significant Decision Restricting Subject Matter Jurisdiction Over "Foreign Cubed" Securities Class Action

November 2008
Applying Stoneridge to Restrict Secondary Actor Liability Under Rule 10b-5

November 1, 2008
A Recent Application of Stoneridge to Scheme Liability Claim

October 31, 2008
NASDAQ Modifies Delisting Rules For Delinquent Periodic Report Filers

October 28, 2008
Congressional Hearings Explore Proposals For New or Modified Financial Regulation

October 28, 2008
Court Decision Limits “Local Law Defense” Under The Foreign Corrupt Practices Act

October 27, 2008
Second Circuit Issues Significant Decision Restricting Subject Matter Jurisdiction Over “Foreign-Cubed” Securities Class Action

October 24, 2008
Data Privacy Update: Insight Into The Views of The Next President on Key Issues

October 23, 2008
Failed Financial Institution Litigation: Remember When

October 22, 2008
The Federal Reserve Board Establishes The Money Market Investor Funding Facility

October 21, 2008
New Internal Revenue Code Section 457A May Apply to Compensation Plans of Portfolio Companies of Private Equity and Venture Capital Funds

October 21, 2008
SEC Adopts Amendments To Rule 12g3-2(b) Exemption and Enhancements To Foreign Private Issuer Reporting Obligations

October 21, 2008
Special Committees Must Be Fully Independent and Demonstrate a “Vigorous” Commitment To Protecting The Interests of The Corporation

October 20, 2008
Treasury Issues Series of Notices Liberalizing Treatment of Net Operating Losses and Other Tax Attributes of Financial Institutions

October 17, 2008
NASDAQ Issues Temporary Suspension of Minimum Bid Price and Market Value of Publicly Held Shares Continued Listing Requirements

October 17, 2008
The Copyright Royalty Board Sets Music Royalty Rates and Congress Passes The Webcaster Settlement Act of 2008

October 16, 2008
The SEC Adopts Amendments to Short Selling Rules

October 16, 2008
Treasury, FDIC and Federal Reserve Announce Development of Additional Programs to Bolster Credit Markets

October 10, 2008
Specialized or Smaller Firms May Find Business Opportunities In The Treasury Department’s Troubled Assets Relief Program

October 10, 2008
Recent State Data Privacy Laws and Court Decisions Impose Extensive Obligations on Companies That Collect and Process Personal Information

October 7, 2008
Loan Document Considerations In Connection With The Bankruptcy Filing of Lehman Commercial Paper Inc.

October 6, 2008
Domestic Compensation Limitations Under The Emergency Economic Stabilization Act

October 4, 2008
U.S. Bailout Plan

October 3, 2008
SEC Announces Extension of Emergency Short Selling Orders

October 3, 2008
New Tax On Nonqualified Deferred Compensation From Certain Tax-Indifferent Parties

October 3, 2008
NAIC Highlights - Fall 2008 National Meeting

October 2, 2008
Treasury Department Creates Temporary Guarantee Program For Money Market Funds

October 2008
Federal Circuit Review - Obviousness

September 28, 2008
U.S. Bailout Plan Update

September 26, 2008
Antitrust Storm Continues To Threaten Whole Foods Merger

September 25, 2008
New York State Insurance Department To Regulate Certain Credit Default Swaps As Insurance

September 25, 2008
Latest Status Report On The Bailout Plan

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

September 24, 2008
Update On U.S. Bailout Plan

September 23, 2008
SEC Announces A “Sweeping Expansion” of Its Investigations of Possible Market Manipulation

September 22, 2008
Competing Administration, Senate and House Versions of Proposed $700 Billion Government Bailout

September 21, 2008
Summary, Status and Issues Surrounding The Proposed $700 Billion Government Bailout

September 19, 2008
Desperately Seeking Security: Whole Business Securitization and Intellectual Property

September 19, 2008
SEC Issues Additional Orders Regarding Short Selling

September 18, 2008
SEC Issues Emergency Order and Announces Other Actions to Respond to Market Crisis

September 16, 2008
Approaching Deadlines For Shareholder Initiatives

September 15, 2008
Lehman Brothers Holdings and Certain of Its European Subsidiaries File For Bankruptcy Protection

September 12, 2008
Scheme Liability: Secondary Actors' Role Post-Stoneridge

September 8, 2008
Certain Shelf Registration Statements to Expire in December

September 5, 2008
Department of Justice Makes Significant Changes To Its Corporate Charging Guidelines

September 2008
Federal Circuit Review - Anticipation

September 2008
Trend Spotting: Recognizing The Growing Risk Of IP Litigation Facing OSS Developers And Implementers

August 12, 2008
Treasury Issues Proposed Regulations Relating to Incentive Stock Option and Employee Stock Purchase Plan Information Reporting

August 8, 2008
SEC Publishes Proposed Guidance For Fund Boards of Directors

August 8, 2008
SEC Provides Guidance On The Use of Company Websites To Provide Information To Investors

August 7, 2008
In Ryan V. Lyondell Chemical Company, The Delaware Chancery Court Reminds Directors That Sale of Control Transactions Require Robust Board Involvement

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

August 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

July 22, 2008
SEC Updates Guidance On Executive Compensation Disclosure

July 22, 2008
DOJ Releases FCPA Opinion on Promotional Expenses To Be Paid To Journalists of State-Owned Media Outlets

July 21, 2008
SEC Issues Amendment To Emergency Order and Publishes Staff Guidance

July 18, 2008
SEC Emergency Order On “Naked” Short Selling

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

July 16, 2008
Administrative “Health Courts” for Medical Injury Claims: The Federal Constitutional Issues

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

July 15, 2008
SEC Announces Examinations Focusing on the Dissemination of False Information Intended to Manipulate Stock Prices

July 15, 2008
NEXT Financial Group, Inc. Sanctioned By The SEC For Violating Regulation S-P

July 11, 2008
Proposed Amendments To SEC Rules and Forms Referring To Credit Ratings Issued By Nationally Recognized Statistical Rating Organizations

July 8, 2008
Whither 'Stoneridge v. Scientific-Atlanta'? Early Results

July 2008
Further Analysis of Proposed Amendments to Regulation S-P and Discussion of Comment Letters - The Investment Lawyer

July/August 2008
DHB Industries Sec. Lit. - The Government's Use of the CAFA to Object to a Securities Class Action Settlement

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

June 27, 2008
Delaware Chancery Court Limits Damages for Duty of Disclosure Claims; Dismisses Claims Against Directors for Breach of Fiduciary Duty

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.

June 26, 2008
IRS Revises Notice Relating To Liquidity-Protected Preferred Stock Issued By Closed-End Funds

June 23, 2008
Reminder: Foreign Account Filing Deadline Approaches

June 20, 2008
FTC Issues New Rules Under the CAN-SPAM Act of 2003

June 19, 2008
Beware: Legal Privilege Rules Differ Between the U.S. and the EU

June 19, 2008
SEC Proposes Revisions to Rules Governing Cross-Border Tender Offers, Exchange Offers, Business Combinations and Rights Offerings

June 19, 2008
SEC Proposes Mandatory XBRL Filings

June 18, 2008
SEC Staff Issues No-Action Letter and IRS Issues Notice Relating To New Type of Closed-End Fund Preferred Stock

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

June 17, 2008
Delaware Bankruptcy Court Enters Orders Regarding Information Disclosure Requirements for Investment Managers

June 13, 2008
Federal District Court Rejects SEC Staff Position Regarding Treatment of Swaps Under Section 13(D)

June 12, 2008
NAIC Highlights – Summer 2008 National Meeting

May - June 2008
Liability of Private Equity Fund Portfolio Company for ERISA Liabilities of Other Portfolio Companies

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

June 3, 2008
Seventh Circuit Adopts New Standard for Judicial Review of Mutual Fund Advisory Fees

June 2008
SEC Proposes Amendments to Regulation S-P to Safeguard Customer Privacy - The Investment Lawyer

June 2008
Caveat Emptor: The Threat to Value from Target Company Use of Open Source Software

May 29, 2008
Delaware Chancery Court Upholds Amendments to Bylaws Denying Former Director Advancement Rights

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

May 21, 2008
SEC Expands Definition of Eligible Portfolio Company for BDCs

May 16, 2008
House Bill Targets Offshore Deferred Compensation

May 15, 2008
Pleading & Proving Loss Causation in § 10(b) Credit Crisis Cases

May 8, 2008
Can SEC/DOJ Cooperation Ever Cross the Line?: What is Left Of U.S. v. Scrushy in the Wake of the Ninth Circuit’s Reversal of U.S. v. Stringer

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

May 2008
The Role of Fair Value Accounting in the Subprime Mortgage Meltdown

May 2008
All OSS Developers Are Equal, But Some OSS Developers Are More Equal Than Others!

May 1, 2008
D&O Alert

April 30, 2008
Recent Developments In Bankruptcy Cases Affecting Landlords’ Lease Rejection Damages Claims

April 28, 2008
Proposed Regulations Clarify and Expand U.S. Government Foreign Direct Investment Reviews

April 21, 2008
Court of Appeals Approves Covert Coordination Between SEC and DOJ

April 8, 2008
NAIC Highlights – Spring 2008 National Meeting

April 3, 2008
SEC Proposes New Part 2 to Form ADV

April 2008
Fair Value Accounting & Subprime

April 1, 2008
OCIE Outlines Examination Priorities

March 28, 2008
SEC Proposes Amendments to Rule 12g3-2(B) Exemption and Enhancements to Foreign Private Issuer Reporting Obligations

March 24, 2008
What Happens When a Broker-Dealer Fails? A Summary of Certain Key Bankruptcy Code and SIPA-Related Issues

March 20, 2008
SEC Proposes “Naked” Short Selling Antifraud Rule

March 18, 2008
SEC Proposes Amendments to Regulation S-P to Safeguard Customer Privacy

March 17, 2008
Role of Monitors in Corporate Investigations and Prosecutions Update: New Justice Department Guidelines and Continuing Criticism

February 28, 2008
Estate Planning Techniques In This Low Interest Rate Environment

February 27, 2008
Solutia and Its Exit Lenders Settle With Exit Lenders Agreeing to Honor Funding Commitment

February 27, 2008
New IRS Revenue Ruling Limits Deductibility of Certain Performance-Based Compensation

February 26, 2008
SEC Adopts Electronic Form D

February 26, 2008
WABTEC Settles FCPA Claims Related to Foreign Subsidiary’s Improper Payments

February 15, 2008
SEC Proposes Disclosure Changes and New Filing Obligations For Investment Advisers

February 15, 2008
FTC Requires Patentee to Fulfill Licensing Commitments to a Standard-Setting Organization to Prevent Consumer Harm

February 12, 2008
Solutia Files Lawsuit Against Exit Lenders to Compel Them to Honor Funding Commitment

February 11, 2008
States Signal Enforcement Agenda Against Minimum Resale Price Maintenance

February 8, 2008
Bundled Discounts: Conflict Brewing in the Circuits

February 6, 2008
FTC Revises HSR Thresholds

February 5, 2008
Lucent Settles FCPA Claims Related to Travel and Entertainment Expenses

February 2008
Choice in Government Software Procurement: A Winning Strategy

February 2008
The Power Of Choice: Massachusetts Wisely Embraces Multiple Document Format Standards To Drive Greater Competition And Innovation

January 29, 2008
Reminder: Annual Update of Form ADV and Annual Requirement to Confirm Status of Investors Under the New Issue Rule

January 25, 2008
Congress and the Media Criticize Role of Monitors in Corporate Investigations and Prosecutions

January 22, 2008
U.S. Supreme Court Rejects Argument that “Scheme Liability” Theory Still Applies to Financial Institutions and Professionals

January 15, 2008
IRS Waives Certain Filing Obligations for 2007 Stock Transfers Relating to Incentive Stock Options and Employee Stock Purchase Plans

January 14, 2008
SEC Adopts Rules Eliminating U.S. GAAP Reconciliations For Foreign Private Issuers Using IFRS

January 9, 2008
Federal Court Again Rejects Justice Department Effort to Revoke Amnesty Granted in Antitrust Prosecution

January 7, 2008
Federal District Courts Reject SEC Charges of Section 5 Violations for Short Selling of Pipe Shares

December 21, 2007
CFI Increases Fine For One Company For The First Time, While Significantly Decreasing Fine For Another Company

December 20, 2007
Insurance Coverage for Subprime Mortgage Problems

December 12, 2007
SEC Eases Requirements of Rules 144 And 145 Regarding Resales of Restricted and Control Securities

December 11, 2007
Lower Courts’ Handling of ‘Tellabs’ ‘Inference of Scienter’, N.Y.L.J.

December 4, 2007
SEC Proposes Amendments to Mutual Fund Disclosure and Prospectus Delivery Requirements

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

October 30, 2007
New York Requires Written Agreements for Commission Salespeople

October 29, 2007
Section 409A Transition Relief Extended Through December 31, 2008

October 24, 2007
The Securities and Exchange Commission Releases Report on Executive Compensation Disclosure – Things to Consider for the 2008 Proxy Season

October 18, 2007
Major New Compliance Rule for Government Contractors

October 3, 2007
Penalties for Violating U.S. Trade Sanctions are Dramatically Increased

October 2, 2007
Seventh Circuit Emphasizes the Necessity for the Timely Selection of Each Party Arbitrator

September 27, 2007
Business Methods That Depend Entirely on Mental Processes Are Not Patentable

September 26, 2007
California Proposes to Revoke Its Exemption for Hedge Fund Advisers

September 26, 2007
Bankruptcy Court Refuses to Rubber Stamp Relief Under Chapter 15 of the Bankruptcy Code

September 26, 2007
CFI Rejects Legal Privilege for In-House Lawyers

September 25, 2007
SEC Adopts Temporary Rule Regarding Principal Trades and Proposes a Recodification of Interpretive Rule

September 19, 2007
DOJ Releases Two Opinions On Hosting Foreign Officials Under the Foreign Corrupt Practices Act

September 7, 2007
Federal Court Rejects FTC Request to Block Whole Foods — Wild Oats Supermarket Merger

September 2007
SEC, CFTC & Other Financial Regulators Propose Model Privacy Notices - The Investment Lawyer

September 2007
GPL, Version 3: The Perils Of Ideological Extremism

August 31, 2007
District Court Vacates Bankruptcy Court’s Enron Decisions Regarding Equitable Subordination and Disallowance

August 28, 2007
SEC Defines “Material Weakness” and Gives Guidance on Evaluation of Internal Controls

August 27, 2007
Delaware Court of Chancery Upholds Independent Directors' Decision to Postpone Stockholder Meeting to Vote On Merger

August 27, 2007
SEC Clarifies Integration Under Rule 152 and Proposes to Liberalize Regulation D and Forms S-3 And F-3

August 16, 2007
CFTC/NFA Regulatory Update

August 14, 2007
SEC Adopts and Reproposes Amendments to Regulation SHO

August 10, 2007
SEC Publishes Final Amendments to Rule 105 of Regulation M

August 9, 2007
SEC Issues New Anti-Fraud Rule

August 8, 2007
New Federal Legislation Means Additional Obligations on Lobbyists and Companies that Lobby

August 2007
FTC And DOJ Issue Joint Report Regarding Antitrust Enforcement And Intellectual Property Rights

July 31, 2007
Congress Strengthens Presidential Authority Over Foreign Investment in the United States

July 25, 2007
Federal Trade Commission Loses Two Bids to Block Two Energy Mergers in One Month

July 25, 2007
U.S. Supreme Court Gives Remedy to Parties that Voluntarily Clean Up Contaminated Sites

July 16, 2007
Supreme Court Overturns Longstanding Precedent and Rules that Minimum Resale Price Restraints are Subject to the Rule of Reason

July 9, 2007
SEC Proposes Liberalization of Resales of Restricted Securities Under Rules 144 and 145

June 29, 2007
All Five SEC Commissioners Testify Together Before Congress For the First Time in More Than a Decade

June 27, 2007
Newly Proposed Legislation Would Tax Carried Interest Earned by Investment Fund Managers at Ordinary Income Rates

June 27, 2007
Justice Department Plans Stepped-Up Criminal Enforcement of Export Control Laws

June 25, 2007
Supreme Court Heightens Scienter Pleading Standard in Securities Fraud Cases

June 22, 2007
SEC Holds Roundtable On Rule 12b-1

June 22, 2007
Supreme Court Addresses Implied Preclusion of The Antitrust Laws in Dismissing Complaint Against Investment Banks

June 21, 2007
SEC Adopts Amendments to Rule 105 of Regulation M

June 19, 2007
New Legislation Would Tax as Corporations Publicly Traded Partnerships Deriving Income From Investment Adviser or Asset Management Services

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

June 15, 2007
SEC Holds Roundtable on Mutual Recognition

June 15, 2007
FTC and DOJ Issue Joint Report Regarding Antitrust Enforcement and Intellectual Property Rights

June 15, 2007
SEC Adopts Amendments to Short Sale Rules

June 8, 2007
Supreme Court Clarifies Antitrust Pleading Standards

June 7, 2007
DOJ Imposes Fine on Hedge Fund Manager for Failure to File HSR

June 2007
GPL Version 3: Two Steps Back For Open Source Licensing, Interoperability, And Open Innovation?

June 1, 2007
CPO/CTA Alert: NFA Issues Notice on Disclosure of Conflicts

May 22, 2007
Delaware Supreme Court Clarifies Directors’ Fiduciary Duties

May 18, 2007
Wall Street Meets Main Street

May 16, 2007
SEC, CFTC and Other Financial Regulators Propose Model Privacy Notices

May 8, 2007
IRS Issues Final Regulations Under Section 409A -- Executives Face Severe Tax Penalties if Plans are not Amended by December 31, 2007

May 7, 2007
Baker Hughes to Pay Record Amount in FCPA Case

April 16, 2007
SEC Division of Market Regulation Provides Class Relief for Fixed Income Exchange-Traded Funds

April 11, 2007
Federal Circuit Further Defines What is Required to Bring a Successful Walker Process Claim

March 27, 2007
Coverage for Corporate General Counsel Under Directors and Officers Liability Insurance Policies

March 15, 2007
Client Alert: House Financial Services Committee Hearing on the Regulation of Hedge Funds

March 14, 2007
Carbon Emissions Trading Under the Kyoto Protocol and Beyond Can Mean Opportunity but Important Due Diligence and Legal Considerations Should Not Be Overlooked

March 12, 2007
Bankruptcy Court Requires Members of Ad Hoc Creditor or Equity Holder Committees to Make Significant Disclosures

March 2007
Supreme Court Reverses Rule That A Patent Licensee In Good Standing Cannot Seek A Declaratory Judgment That The Licensed Patent Is Invalid, Unenforceable, Or Not Infringed

March 1, 2007
U.S. Supreme Court Denies Review of Transfer of Environmental Liability Case, Reaffirming the Ability of Buyers and Sellers of Businesses and Real Estate to Apportion CERCLA Liability Through Written Agreements

March 1, 2007
FTC Orders Compulsory Licensing and Sets Maximum Royalty Rate for Patents Concealed From Standard-Setting Organization

February 28, 2007
CPO/CTA Alert: CFTC Adopts Amendments to Advertising Rule

February 26, 2007
FTC Challenges Private-Equity Firms’ Investments in Competing Companies

February 13, 2007
Vetco Pays Largest Criminal Fine in the History of the FCPA

February 9, 2007
Update on Client Commission Arrangements

February 6, 2007
Reminder: Annual Update of Form ADV and Annual Requirement to Confirm Status of Investors Under the New Issue Rule

February 5, 2007
New Rules Affect Environmental Due Diligence

February 2, 2007
Complex Political Contribution Rules Pose Legal and Reputational Risks

January 30, 2007
CPO/CTA Alert: Electronic Filing Requirements for CPO and CTA Notices

January 26, 2007
SEC Staff Issues No-Action Position on New Client Commission Arrangements

January 23, 2007
FTC Revises HSR Thresholds

January 22, 2007
The Relationship Between Money Managers and Capitol Hill - Regulators and Lawmakers Take Notice

January 22, 2007
Implications of the EW’s Adoption of “Registration, Evaluation, and Authorization of Chemicals” (REACH)

January 18, 2007
Supreme Court Reverses Rule That a Patent Licensee in Good Standing Cannot Seek a Declaratory Judgment that the Licensed Patent is Invalid, Unenforceable, or Not Infringed

January 17, 2007
Proposed Amendment to Section 409A of the Code Limiting Annual Deferral Amount

January 17, 2007
U.S. Supreme Court Grants Certiorari in Two Antitrust Cases

January 17, 2007
SEC Order Provides Insight on Practices and Procedures for Setting Environmental Reserves

January 10, 2007
The Pension Protection Act of 2006: New Disclosure and Fiduciary Liability Rules

January 8, 2007
Mitigating Tax Risks of Hedge Fund Investments in Loans

January 8, 2007
The European Commission Approves the Merger of Gaz De France and Suez

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

January 3, 2007
European Commission Revises Cartel Leniency Rules

2007
Taxation of Exchange Traded Funds and Exchanged Traded Partnerships

December 28, 2006
New DOJ Guidelines on Corporate Prosecutions

December 22, 2006
President Bush Reserves Power to Withdraw Approvals of Foreign Investment in the U.S. on National Security Grounds

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

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”

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

November 30, 2006
Antitrust Division Endorses Ex Ante Disclosure Of Maximum Royalty Rate And Licensing Terms In Context Of Standard Setting

November 8, 2006
SEC Approves Amendments to Best-Price Rule to Eliminate Bias Against Tender Offers

November 8, 2006
The Federal Trade Commission Dissolves Consummated Merger

October 28, 2006
Treasury Department Issues Guidance To Assist Mutual Fund Compliance With Suspicious Activity Report Filings Beginning On October 31, 2006

October 12, 2006
Securities Class Action May Proceed Based on Allegations of Misleading Statements Concerning Potential FCPA Violations

October 6, 2006
Final Executive and Director Compensation Disclosure Rules

October 4, 2006
Lawsuits Bring Indenture Reporting Requirements Into the Spotlight

October 3, 2006
Commission Adopts Amendments to Rule 22c-2 (Mutual Fund Redemption Fee Rule)

September 29, 2006
Unique Properties of Nanomaterials Increase Likelihood of Environmental Regulation

September 25, 2006
Discretionary Adjustments to Outstanding Awards Under Equity Compensation Plans May Create Additional Compensation Expense

September 22, 2006
Short Term Proposal For Regulatory Treatment of Hybrid Securities

September-October 2006
Credit Agreement Pricing Grids: Dealing with Borrower Computation Errors

Fall 2006
Choice in Government Software Procurement: A Winning Strategy

August 25, 2006
SEC Extends Section 404 Compliance Deadlines for Certain Issuers

August 11, 2006
SEC Provides Relief Relating to the Vacated Hedge Fund Adviser REgistration Rule

August 10, 2006
Pension Protection Act of 2006 Makes Major Changes to ERISA Fiduciary Requirements

August 9, 2006
FTC Addresses Application of Antitrust Laws to Standard-Setting Process

August 9, 2006
DOJ Clearance of the Whirlpool/Maytag Transaction May Signal a Greater Recognition of Foreign Competition in U.S. Merger Analysis

August 3, 2006
Identity Theft Red Flags and Notices of Address Discrepancy: Proposed Rule

July 28, 2006
NAIC Holds Hearing on the Regulatory Treatment of Hybrid Securities

July 27, 2006
Client Alert: July 25, 2006 Senate Banking Committee Hearing on the Regulation of Hedge Funds

July 24, 2006
Commission Publishes Interpretive Guidance and Seeks Additional Comments on "Soft Dollars" Safe Harbor

July 21, 2006
Trading Options In ETFS Does Not Infringe Proprietary Rights Of Funds’ Creators

July 18, 2006
SEC Proposes Amendments to Regulation SHO

July 11, 2006
Environmental Groups Petition the FDA to Regulate Nanotechnology

July 2006
IP Issues for Hedge Fund Managers

June 30, 2006
Commission Staff Will Not Enforce the Cash Solicitation Rule for Solicitors of Hedge Fund Investors

June 27, 2006
D.C. Circuit Delays Effectiveness of its Decision in the Hedge Fund Adviser Registration Case

June 23, 2006
U.S. Court of Appeals Overturns Hedge Fund Adviser Registration Rule

June 16, 2006
Tax Increase Prevention and Reconciliation Act of 2005; Tax-Free Spin-Off Developments

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

June 14, 2006
SEC Announces Roundtable on Regulation SHO Pilot

June 14, 2006
Client Alert: SEC Interactive Data Roundtable, June 12, 2006

June 13, 2006
Client Alert: Compliance Date Approaching for Rule 22c-2 (Mutual Fund Redemption Fee Rule)

June 9, 2006
New Utah Law Targets Failures to Deliver on Securities Trades

June 6, 2006
The Latest Executive Compensation Scandal: Backdated Options

June 6, 2006
SEC Brings Money Market Fund Enforcement Action

June 2, 2006
New York Further Amends Notice Publication Laws for Limited Liability Entities Authorized to Conduct Business Within the State

May 25, 2006
Securities and Exchange Commission Brings First Ever Enforcement Action Under the USA Patriot Act

May 24, 2006
Supreme Court Decision in eBay v. MercExchange Abolishes Rule That Courts Will Issue Permanent Injunctions Against Patent Infringement Absent Exceptional Circumstances

May 17, 2006
Client Alert: May 16, 2006 Senate Banking Subcommittee Hearing on the Role of Hedge Funds in U.S. Capital Markets

April 28, 2006
U.S. Antitrust Regulators Continue Enforcement of HSR “Gun Jumping”

April 26, 2006
Client Alert: SEC Chairman Christopher Cox Makes First Appearance before the Senate Banking Committee

April 26, 2006
The Modified LIFO Method: SEC Staff Interprets Rule 203(b)(3) of Regulation SHO Regarding Aging Failures to Deliver, New Frequently Asked Question 5.8

April 21, 2006
Short Selling: An Extension and A Deadline

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)

March 13, 2006
Commission Issues Proposed Amendments to its Voluntary Redemption Fee Rule

March 9, 2006
U.S. Supreme Court Issues Three Notable Antitrust Decisions

March 2, 2006
SEC Proposes New Executive Compensation Disclosure Rules

February 22, 2006
FTC Announces Reforms to the Second Request Merger Review Process

February 21, 2006
CPO Alert: Electronic Filing Requirement for Commodity Pool Annual Reports

February 17, 2006
Reminder: Annual Update of Form ADV and Annual Requirement to Confirm Status of Investors Under the New Issue Rule

February 16, 2006
Delaware Chancery Court Enforces Contractual Restrictions on Buyer’s Remedies in Stock Purchase Agreement and Confirms that Restrictions will not Apply in Cases of Actual Fraud

January 26, 2006
SEC Proposes Rules Liberalizing Foreign Private Issuers’ Ability to Deregister Under the Exchange Act

January 26, 2006
SEC to Overhaul Executive Compensation Disclosure Rules

January 25, 2006
FTC Revises HSR Thresholds and Changes Rules Applicable to Revenue Disclosure

January 12, 2006
New Anti-Money Laundering Rule on Mutual Fund Due Diligence

January 10, 2006
Federal Bank Regulatory Guidance Clarifies that a Broader Definition of Community Development is Applicable to all Banks Under the Community Reinvestment Act

January 9, 2006
Delaware Chancery Court Highlights Pitfalls of a Flawed Special Committee Process in Interested Merger Transaction

December 20, 2005
SEC Proposes Amendments to Best-Price Rule to Eliminate Bias Against Tender Offers

December 15, 2005
Commission Responds to Questions on Hedge Fund Adviser Registration

November 7, 2005
Treasury Proposes Deferred Compensation Regulations: Brave New World for Executives

November 1, 2005
Client Alert: Registration of <.EU> Domain Names Begins December 7

October 28, 2005
Commission Issues Proposed Interpretive Guidance on the Scope of Section 28(e)

October 20, 2005
NASD Files with the SEC to Extend the Deadlines for Rule 3012 Annual Reports and Rule 3013 CEO Certification of Compliance Processes to April 1, 2006

September 21, 2005
U.S. Department of Labor Adopts Final Amendments to QPAM Exemption

September 6, 2005
Delaware Chancery Court Cautions Directors About Personal Liability
Disney Decision Provides Roadmap Toward More Director Accountability by Focusing on “Good Faith” Conduct


August 22, 2005
New York Enacts Information Security Breach and Notification Act; Entities that Conduct Business in New York and Possess Computerized Data Must Comply by December 2005

August 15, 2005
Regulation U and Total Return Swaps in Light of the SEC’s Recent Settlement Order in the Matter of Canadian Imperial Holdings Inc. and CIBC World Markets Corp.

August 11, 2005
Chicago Board of Trade Adopts Position Limits on Treasury Futures

August 5, 2005
SEC Adopts Securities Offering Reform

August 2, 2005
SEC Adopts Rule Regarding Delisting and Withdrawal from Registration Under the Exchange Act

June 28, 2005
EU Savings Directive– Registration Required Before July 1, 2005

June 15, 2005
IRS Circular 230 Notice

May 9, 2005
Registered Investment Companies: Futures Margin and Third-Party Custodial Accounts

April 25, 2005
SEC Provides Guidance Regarding Conduct in Connection with IPO Allocations

April 13, 2005
Personal Data Security in the Wake of ChoicePoint

April 6, 2005
SEC’S Office of Compliance Inspections and Examinations Provides a Top Ten List of Concerns at the SIA Conference

March 17, 2005
Congress Makes Significant Changes to Rules Governing Class Actions

March 9, 2005
New HSR Rules Regarding Partnerships and Limited Liability Companies to Become Effective on April 7, 2005

March 8, 2005
Deferred Compensation Alert - March 15, 2005 Deadline and New Deferral Strategies

March 7, 2005
U.S. Bankruptcy Bill May Fix Problem for U.S. State Administration of Assets of Branches and Agencies of Insolvent Foreign Banks

February 10, 2005
SEC Proposes Amendments to Regulation M

February 9, 2005
The Implications of the Supreme Court’s Booker Decision on Corporate Compliance and Ethics Programs

January 21, 2005
Supreme Court Decision in K.P. Permanent V. Lasting Impression Limits Trademark Protection for Descriptive Terms

January 21, 2005
Reminder: Annual Requirement to Confirm Status of Investors Under the New Issue Rule

January 20, 2005
The International Chamber of Commerce Proposes an Alternative for Legitimizing International Transfers of Personal Data from the European Union

January 14, 2005
Reminder: Form ADV Code of Ethics Disclosure and Annual Updating Requirement

January 5, 2005
SEC Proposes Securities Offering Reform

January 3, 2005
Proposed New NASD and NYSE IPO Rules Published for Comment

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

December 28, 2004
Initial Guidance on New Deferred Compensation Rules

December 15, 2004
InVision Acquisition Closes After InVision and GE Reach Agreement with the Department of Justice Over FCPA Allegations

December 10, 2004
Securities and Exchange Commission Requires Hedge Fund Advisers to Register by February 1, 2006

December 2004
Eighteen Safeguards To Corporate Self-Investigation

December 2004
The New Form 8-K Regulations - Is Disclosure Required?

November 8, 2004
New NASD Rule 3013 Requires Designation of Chief Compliance Officer by December 1, 2004, and Annual CEO Certification of Compliance Processes

October 29, 2004
American Jobs Creation Act of 2004 Makes Sweeping Changes to Deferred Compensation Rules

October 27, 2004
SEC Adopts Rule Requiring Registration of Hedge Fund Advisers

October 15, 2004
New Tax Legislation Would Make Mutual Funds More Attractive to Non-U.S. Investors (for a Limited Time Only)

October 5, 2004
New Form 8-K Reporting Requirements Apply to Many Compensation Arrangements

September 30, 2004
Check 21: Changes Ahead for Mutual Funds and Their Checkwriting Programs

September 28, 2004
SEC Approves New NASD Rule 3013 on Designating CCOs and CEO Certification of Compliance Processes

September 27, 2004
SEC Drops Appeal in FCPA Enforcement Action

September 8, 2004
SEC Adopts Final Rules on Disclosure Regarding Portfolio Managers of Investment Companies

August 13, 2004
NASD Modifies Exemption for Foreign Investment Companies in New Issue Rule

August 5, 2004
SEC Adopts Regulation SHO Governing Short Sales

July 30, 2004
SEC Adopts Final Rules on Investment Company Governance

July 23, 2004
SEC Issues Proposed Rule Requiring Registration of Hedge Fund Advisers

July 22, 2004
SEC Adopts a Rule to Require Registered Investment Advisers to Establish Codes of Ethics and Amends Investment Company Codes of Ethics Rule

July 15, 2004
Proposed Rule Requiring Registration of Hedge Fund Advisers

July 14, 2004
Commission Proposes Regulation B to Govern Broker Exceptions for Banks: Little Improvement on 2001 Interim Rules

July 6, 2004
SEC to Make Publicly Available Comment Letters and Company Responses

June 30, 2004
Supreme Court Limits Claims Under Alien Tort Statute

June 21, 2004
SEC Finds Donations to Bona Fide Charity to be in Violation of the FCPA

June 18, 2004
SEC Adopts Additional Breakpoint Disclosure for Registered Investment Companies

May 25, 2004
The Fact Act and its Impact on Retailers, Merchants and Other Non-Financial Companies

May 12, 2004
Bush Administration Imposes Trade Sanctions Against Syria

May 3, 2004
United States Sentencing Commission Adopts More Stringent Requirements for Corporate Compliance Programs

May 3, 2004
HSR Proposed Rulemaking Regarding Partnerships and Limited Liability Companies

April 21, 2004
Avoiding Liability Under the CAN-SPAM Act of 2003 for Sending Commercial Email

April 16, 2004
“Approvals” Pursuant to Codes of Ethics May Trigger Disclosure Requirements

March 30, 2004
Estate Planning Alert: Estate Planning Techniques in this Low Interest Rate Environment

March 30, 2004
PCAOB Approves Final Standard for Auditor Attestations of Internal Control Over Financial Reporting

March 29, 2004
SEC Adopts Expanded and Accelerated 8-K Reporting Requirements

March 17, 2004
SEC Adopts Rules on Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies

March 2004
Interpreting Ambiguities in Loan Agreements

February 4, 2004
Annual Form ADV Updating Requirement for Federally Registered Investment Advisers

February 2, 2004
Second Circuit Court of Appeals Applies Heightened Pleading Requirement to Claims Under Sections 11 and 12(a)(2) of the Securities Act of 1933 That Sound in Fraud

January 15, 2004
SEC Adopts Final Rules on Compliance Programs for Investment Companies and Investment Advisers

January 7, 2004
Proposed Rule: Amendments to Rules Governing Pricing of Mutual Fund Shares

January 5, 2004
New NASD Hot Issue Rule Effective

December 24, 2003
A New Federal Law Regulating Commercial E-mail: The Can-Spam Act Will Affect All Businesses

December 24, 2003
Sale and Leaseback of Pay Phones Ruled Selling of Securities Under New York's Martin Act

December 8, 2003
SEC Amends Safe Harbor for Issuer Stock Repurchases and Adopts Disclosure Requirements for Issuer Stock Repurchases

December 2, 2003
REIT Takeovers and Governance: Highlights from the Tender Offer for Taubman Centers

November 26, 2003
New NYSE Rules for Audit Committees of Listed Companies

November 7, 2003
SEC Approves New NASD Hot Issue Rule

October 29, 2003
Securities and Exchange Commission Proposes Rule Permitting Direct Shareholder Involvement in Director Nomination Process

October 23, 2003
New Voluntary Initiative Regarding IPO Allocations

October 2, 2003
Adviser Custody Rule Amended

September 29, 2003
Securities and Exchange Commission Staff Issues Hedge Fund Report

August 8, 2003
Amendments to CFTC Rules for CPOs and CTAs

August 6, 2003
Proposed Treasury Regulation to Affect Investments by Variable Insurance Contracts in Hedge Funds

July 22, 2003
IRS Rules on Joint Venture Providing Services to Tenants of REIT

July 21, 2003
IRS Issues Revenue Procedure 2003-65 and Establishes Safe Harbor for REITS Acquiring Mezzanine Loans

July 15, 2003
SEC Approves Final NYSE/NASDAQ Rules Requiring Shareholder Approval of Equity Compensation Plans

June 25, 2003
IRS Announces That it Will No Longer Issue Advance Rulings on Significant Spin-off Topics

June 18, 2003
Delaware Chancery Court Emphasizes Social and Institutional Connections in the Meaning of Director Independence

June 6, 2003
Qualification for Lower Tax Rate on Dividends

June 4, 2003
Compliance With New Safeguards Rule Adopted by the Federal Trade Commission

May 28, 2003
SEC Adopts Final Rules Requiring Electronic Filing and Website Posting for Forms 3, 4 and 5

May 12, 2003
Registration of <.law.pro>, <.cpa.pro> and <.med.pro> Domain Names

May 2003
What Lenders Need to Know About Unfunded Pension Liabilities

May 5, 2003
Anti-Money Laundering Programs Proposed for - (1) Registered Investment Advisers and Unregistered Advisers with $30 Million Under Management and (2) Registered Commodity Trading Advisors that Direct Client Accounts

April 16, 2003
SEC Issues Final Rules for Audit Committees of Listed Companies

April 15, 2003
Delaware Supreme Court Strikes Down Absolute Lock-up of Merger as a Preclusive and Coercive Defensive Measure

April 7, 2003
New Tax Shelter Regulations Require Revision of Most Confidentiality Provisions in Agreements, Offering Memoranda, etc.

March 21, 2003
Proposed Amendments to CFTC Rules for CPOs and CTAs

March 17, 2003
The SEC Adopts a Professional Conduct Rule for Lawyers

March 1, 2003
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

February 28, 2003
Recent Federal Circuit Decision in Rambus v. Infineon Impacts Participation in Technical Standards Development Organizations

February 5, 2003
SEC Issues Final Rules on Certification of Investment Company Shareholder Reports and Disclosure of Codes of Ethics and Audit Committee Financial Experts

January 30, 2003
SEC Issues Final Rules on Disclosure of Audit Committee Financial Experts and Codes of Ethics

January 30, 2003
DOL Issues Final Regulations on Pension Plan Blackout Periods

January 30, 2003
SEC Adopts Final Rules on Insider Trading During Pension Plan Blackout Periods

January 15, 2003
SEC Proposes Rules for Audit Committees of Listed Companies

January 7, 2003
Renewed Arab Boycott Threat Raises Compliance Issues Under U.S. Law

December 24, 2002
FCC Reforms Federal Universal Service Program and Seeks Comment on Further Proposed Changes

December 17, 2002
SEC Proposes Issuer Stock Repurchase Amendments

December 9, 2002
Client Alert: U.S. Adopts Implementing Legislation for the Madrid Protocol

December 6, 2002
SEC Proposes Rules on Disclosure of Off-Balance Sheet Arrangements

December 6, 2002
SEC Releases Proposed Professional Responsibility Rule for Lawyers

November 19, 2002
SEC Proposes Rules on Improper Influence on Conduct of Auditors

November 18, 2002
SEC Proposes Rules on Insider Trading During Pension Plan Blackout Periods

November 15, 2002
SEC Proposed Rules on Conditions for Use of Non-GAAP Financial Measures

November 11, 2002
SEC Proposes a Professional Responsibility Rule for Lawyers

November 8, 2002
SEC Proposes Rules on Disclosure of Internal Controls, Codes of Ethics and Financial Experts on Audit Committees

September 16, 2002
SEC Accelerates Filing Deadlines for Periodic Reports

September 12, 2002
Proposed Legislation Would Affect Taxation of Deferred Compensation Benefits for Executive Officers, Directors and 10% Shareholders

September 6, 2002
SEC Issues Final Rules for New CEO/CFO Certification Under Section 302 of the Sarbanes-Oxley Act

Fall 2002
Waging the Workout War: A Short List of Commandments

August 29, 2002
SEC Issues Final Rules for New Section 16 Reporting Requirements

August 13, 2002
New Prohibition on Loans to Executives May Conflict With Common Compensation Practices

August 13, 2002
SEC to Provide Only Limited Exceptions to New Section 16 Reporting Requirements

August 9, 2002
Sarbanes-Oxley Act of 2002 and its Effect on Registered Investment Companies

August 8, 2002
U.S. Enacts Broad New Reforms in Corporate Accountability

August 5, 2002
NYSE Takes Actions in Corporate Governance Reform

July 31, 2002
Corporate Compliance Update: CEO/CFO Certification of SEC Periodic Reports Effective Immediately for All Issuers

July 29, 2002
Sweeping Reforms in Corporate Accountability Passed

July 29, 2002
NASDAQ and AMEX Take Actions on Corporate Governance Reform

July 18, 2002
SEC Changes Position on Rule Permitting Exclusion of Shareholder Proposals Relating to Certain Equity Compensation Plans

July 15, 2002
SEC Requires CEOs and CFOs to Certify the Accuracy of SEC Reports

July 2, 2002
IRS Postpones Proposed Tax Withholding Rules for Statutory Options

June 14, 2002
SEC Proposes Requiring Certification of Quarterly And Annual Reports and New Form 8-K Disclosures and Filing Deadlines

May 31, 2002
NASDAQ Proposes Rule Changes to Strengthen Corporate Governance Standards

May 29, 2002
SEC Final Rule: Mandated Edgar Filing for Foreign Issuers

May 14, 2002
SEC Proposes Disclosure Requirement in Management's Discussion and Analysis About the Application of Critical Accounting Estimates

May 3, 2002
New Safe Harbor for Tenancies-in-Common

April 30, 2002
New Campaign Finance Law Bans "Soft Money" But Raises the Amounts Individuals May Contribute to Federal Candidates and National Political Parties

April 29, 2002
New Regulations Under I.R.C. § 355(e)

April 23, 2002
SEC to Issue Interpretive Guidance on the Treatment of Security Futures Under Section 16 of the Exchange Act

April 18, 2002
Environmental Amendments Will Affect Transactions Involving Real Property

April 15, 2002
SEC Approves Rule Proposals to Accelerate Dissemination of Information to Investors

April 12, 2002
Hart-Scott-Rodino Act Amended for Transactions Involving Foreign Persons and With Respect to the “Transition” Rule

March 22, 2002
SEC Adopts New Requirements for Arthur Andersen LLP Auditing Clients

February 25, 2002
IRS Proposes New FICA, FUTA and Income Tax Withholding Rules for ISOs and ESPPs

February 22, 2002
Client Alert: Registration of <.US> Domain Names

February 19, 2002
SEC Issues Statement Regarding Its Plan to Propose Changes to Corporate Disclosure Rules

February 12, 2002
Competitive Concerns Before a Transaction Closes: Pre-Merger Conduct Between Competitors

February 2002
Compliance With the Privacy Rules Adopted by the Commodity Futures Trading Commission

February 2002
Commodity Futures Trading Commission Regulations Implementing the Commodity Futures Modernization Act

January 28, 2002
SEC Adopts Additional Disclosure Rules for Equity Compensation Plans

January 25, 2002
SEC Issues Statement Regarding Management’s Discussion and Analysis of Financial Condition and Results of Operations

January 8, 2002
SEC Issues Cautionary Release Regarding the Use of “Pro Forma” Financials in Earnings Releases

December 3, 2001
U.S. Implementing New Expanded Money-Laundering Law

November 27, 2001
Pending European Union Legislation Would Restrict Key Technology Used By Web Sites To Track Users' Actions Online

November 15, 2001
DOJ Implements Interim HSR Filing Procedures

October 10, 2001
SEC Final Rule: Mandated Edgar Filing For Foreign Issuers

October 3, 2001
Enhanced Enforcement Of U.S. Antiterrorist Sanctions

September 24, 2001
Privacy Safeguard Requirements of The SEC, NCUA, OCC, Treasury, Federal Reserve System, FDIC, OTS And FTC

Fall 2001
Case 01-4: Beware the Wrath of Old Article 9

June 14, 2001
Decision By U.S. To Join Madrid Protocol Will Impact Trademark Holders

June 11, 2001
SEC Scrutinizing Foreign Registrants Regarding Dealings In Countries Under U.S. Sanctions

June 7, 2001
New Transfer Tax Provisions

June 6, 2001
New REIT Spin-Off Ruling

May 23, 2001
FCC Initiates Proceeding To Reform The Universal Service Fund Contribution System

May 21, 2001
Client Alert: Registration of <.biz> And <.info> Domain Names

May 9, 2001
New Margin Requirements For Day Trading

May 9, 2001
Hart-Scott-Rodino Act to Change From SIC Codes To NAICS Codes; Base Year To Change From 1992 To 1997

April 26, 2001
Canada Enacts New Privacy Law Impacting All Companies That Collect Personal Information From Individuals

February 2, 2001
SEC Adopts New Rules to Clarify Integration of Abandoned and Private Offerings

January 25, 2001
SEC's Guidance to the Revised Rules on Auditor Independence

January 8, 2001
IRS Issues New Spin-off Regulations

January 4, 2001
CFTC Annual Report Filing Extensions for Funds of Funds

Winter 2000-2001
Case 00-4: A Vote to Die For

January 1, 2000
Rising Star: Willkie's Adam Turteltaub

Winter 1999
Case 99-4: Tripped Up by Trademark Collateral

Spring 1999
Simplify Your Loan Agreement to Earn Your Borrower's Good Will

October 1998
High Yield Bond Primer

Winter 1996-1997
Cut Legal Fees Now: Action Steps for Lenders

1996
The Achilles Heel of Secured Lending