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Results: 1-10 of 23,605

SEC adopts significant money market fund reform rules

  • Baker & McKenzie
  • -
  • USA
  • -
  • August 20 2014

The SEC has adopted amendments to rules governing money market funds under the 1940 Investment Company Act, which are intended to address risks that

FINRA amends rule to limit self-trading

  • Baker & McKenzie
  • -
  • USA
  • -
  • August 20 2014

FINRA has amended Rule 5210 to require member firms to adopt policies and procedures to detect and prevent patterns or practices of self-trades

SEC adopts rules for cross-border security-based swaps

  • Baker & McKenzie
  • -
  • USA
  • -
  • August 20 2014

On June 25, 2014, the SEC approved rules and guidance on cross-border security-based swap activities. It was the first in a series of rules to be

Hospital system discloses HIPAA breach affecting 4.5 million individuals

  • Bricker & Eckler LLP
  • -
  • USA
  • -
  • August 20 2014

In an August 18, 2014, regulatory filing, Community Health Systems (CHS) disclosed that a group of Chinese hackers obtained patient information on 4

SEC to commence examinations of municipal advisors

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • August 20 2014

The SEC announced that its Office of Compliance Inspections and Examinations, or OCIE, is launching an examination initiative directed at newly

Second Circuit holds that anti-retaliation provisions of Dodd-Frank Act have no extraterritorial application

  • Cadwalader Wickersham & Taft LLP
  • -
  • USA
  • -
  • August 20 2014

In a closely watched case, Liu v. Siemens AG, the United States Court of Appeals for the Second Circuit decided last week that the anti-retaliation

SEC request for O&D bar denied

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 20 2014

A frequently used remedy in Commission enforcement actions is the officer and director bar. A permanent bar has the very harsh effect of precluding

Providing compliant services

  • Drinker Biddle & Reath LLP
  • -
  • USA
  • -
  • August 19 2014

The increasing regulation of 401(k) distributions and rollovers to IRAs continues to be a subject of great interest to my clients . . . And a

HIPAA breach at Community Health Systems, Inc. affects 4.5 million individuals

  • Roetzel & Andress
  • -
  • USA
  • -
  • August 19 2014

Community Health Systems, Inc., announced yesterday in a filing to the Securities and Exchange Commission that its computer network was targeted by

Second Circuit holds whistleblower anti-retaliation provision does not apply extraterritorially

  • Debevoise & Plimpton LLP
  • -
  • USA
  • -
  • August 19 2014

In a closely-watched decision interpreting the Dodd-Frank Act's whistleblower provision, the Second Circuit Court of Appeals last week affirmed the