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Results: 1-10 of 369

Third Circuit Enforces Post-Acceleration Make-Whole Premium
  • Schulte Roth & Zabel LLP
  • USA
  • November 18 2016

The U.S. Court of Appeals for the Third Circuit held on Nov. 17, 2016 that a debtor’s refinancing of its first and second lien notes during its


New Form ADV: The Impact on Private Fund Advisers
  • Schulte Roth & Zabel LLP
  • USA
  • September 19 2016

On Aug. 25, 2016, the U.S. Securities and Exchange Commission adopted a final rule that amends Form ADV the filing that investment advisers


NYDFS Proposes Detailed and Sweeping Cybersecurity Regulation for Financial Services Companies
  • Schulte Roth & Zabel LLP
  • USA
  • September 15 2016

On Sept. 13, 2016, the New York State Department of Financial Services (“NYDFS”) issued a proposed regulation that would impose new, rigorous


Seventh Circuit Limits Bankruptcy Safe Harbor Protection
  • Schulte Roth & Zabel LLP
  • USA
  • September 8 2016

The safe harbor protection of Bankruptcy Code (“Code”) 546(e) does not protect “transfers that are simply conducted through financial institutions,”


Recent Developments in Executive Compensation
  • Schulte Roth & Zabel LLP
  • USA
  • August 19 2016

There have been several relatively minor, yet notable, developments affecting executive compensation this year. This Alert provides an overview of


Hart-Scott-Rodino Update: Investor Fined for Violation Even Without a Stock ‘Purchase’
  • Schulte Roth & Zabel LLP
  • USA
  • August 12 2016

On Aug. 10, 2016, Caledonia Investments plc ("Caledonia") agreed to settle Federal Trade Commission ("FTC") charges that Caledonia violated the


Activism and Passivity: HSR Act and Section 13(d) Developments for Investors
  • Schulte Roth & Zabel LLP
  • USA
  • July 28 2016

On July 12, 2016, the U.S. Department of Justice (the "DOJ") announced that investment firm ValueAct had entered into a consent decree in which it


HSR Act Update: 150-Percent Increase in Maximum Civil Penalties for Violations; Yearly Increases to Follow
  • Schulte Roth & Zabel LLP
  • USA
  • July 7 2016

On June 29, 2016, the Federal Trade Commission ("FTC") announced that the maximum civil penalty that can be assessed for violations of the premerger


Highlights of FinCEN’s Long-Awaited Customer Due Diligence Final Rule
  • Schulte Roth & Zabel LLP
  • USA
  • May 11 2016

On May 11, 2016, the U.S. Treasury Department’s Financial Crimes Enforcement Network (“FinCEN”) published its long-awaited Final Rule regarding the


The New FINRA Registration Requirement for Algorithmic Traders: Implications for Broker-Dealers and Investment Advisers
  • Schulte Roth & Zabel LLP
  • USA
  • April 26 2016

On April 7, 2016, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority’s proposed amendments to NASD Rule 1032