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Second Circuit rules that a forum selection clause can trump the FINRA rule requiring arbitration

  • Baker & McKenzie
  • -
  • USA
  • -
  • November 28 2014

The Financial Industry Regulatory Authority (“FINRA”), which regulates U.S. securities firms, has a rule that its members “must arbitrate a dispute”

Anticorruption developments- 261114

  • Akin Gump Strauss Hauer & Feld LLP
  • -
  • Germany, USA
  • -
  • November 26 2014

Earlier this month, a California-based life sciences company agreed to pay $55 million to resolve parallel investigations by the U.S. Department of

SEC will no longer require an acquired entity to use “pushdown” accounting upon a change in control

  • Morgan Lewis & Bockius LLP
  • -
  • USA
  • -
  • November 26 2014

On November 18, the SEC's Division of Corporation Finance and the Office of the Chief Accountant (the Staff) rescinded Topic 5.J. Of the Staff

Waivers of IPO lock-up

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • November 26 2014

We have previously commented on the lock-up requirement in connection with IPOs and noted that it has become somewhat more frequent for underwriters

Is a licensed securities dealer a “professional” under Alabama law prohibiting enforcement of nonsolicitation agreements against professionals? (update)

  • Burr & Forman LLP
  • -
  • USA
  • -
  • November 26 2014

The Alabama Court of Civil Appeals released a slip opinion on May 16, 2014 addressing enforcement of a nonsolicitation agreement against a licensed

Agencies adopt final Dodd-Frank risk retention rules for asset-backed securities

  • Sidley Austin LLP
  • -
  • USA
  • -
  • November 25 2014

During the week of October 20, 2014, several federal agencies (the “Agencies”) adopted final rules (the “Final Rules”) to implement the Dodd-Frank

Community banks week in review - November 25, 2014

  • Nelson Mullins Riley & Scarborough LLP
  • -
  • USA
  • -
  • November 25 2014

Three developments in the past week warrant careful attention by most community banks. First, in the mortgage area, the CFPB proposed new mortgage

Bio-Rad Laboratories settlements illustrate the difficult choices in self-reporting scenarios

  • Debevoise & Plimpton LLP
  • -
  • USA
  • -
  • November 25 2014

In their latest FCPA enforcement action, the U.S. Department of Justice ("DOJ") and U.S. Securities and Exchange Commission ("SEC") provide textbook

Opinion release 14-02: revisiting successor liability

  • Debevoise & Plimpton LLP
  • -
  • USA
  • -
  • November 25 2014

On November 7, the Department of Justice ("DOJ") issued its second opinion release of 2014, revisiting the question of successor liability in

D.C. Circuit to rehear conflict minerals case

  • Akin Gump Strauss Hauer & Feld LLP
  • -
  • USA
  • -
  • November 25 2014

On November 18, 2014, the U.S. Court of Appeals for the D.C. Circuit granted the SEC's motion to rehear the court's decision in NAM v. SEC. As