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Results: 1-10 of 188

The Financial Choice Act Much Ado About Nothing
  • Ulmer & Berne LLP
  • USA
  • June 9 2017

While most of DC was watching the Comey hearing, the House of Representatives passed the Financial CHOICE Act, which would significantly alter the


Federal Appellate Court Affirms CFTC’s Decision To Deny Tolling Statute of Limitations During Pendency of NFA Arbitration
  • Ulmer & Berne LLP
  • USA
  • June 7 2017

In a May 25, 2017 decision, the U.S. Court of Appeals for the Seventh Circuit affirmed a Commodity Futures Trading Commission (CFTC) Opinion and Order


FINRA Provides The Blueprint For Monitoring Outside Business Activities
  • Ulmer & Berne LLP
  • USA
  • June 7 2017

Outside business activities are in the news. In Reg Notice 17-20, FINRA announced that it was seeking comments in an effort to learn whether or not


How The Fiduciary Rule May Impact Outside Business Activities
  • Ulmer & Berne LLP
  • USA
  • June 6 2017

Because fixed annuities and fixed life insurance are not securities, many broker-dealers treat the sales of these products by their registered reps as


Where’s The Beef? The SEC Complains That Filing A SAR Isn’t Enough If It Skimps On Details
  • Ulmer & Berne LLP
  • USA
  • June 5 2017

Many of my clients chafe at the AML rule, given the cost of compliance and the even higher cost of defending an Enforcement action if the regulators


Does FINRA Give Credit For Self-Reporting Problems? It Says It Does, But.
  • Ulmer & Berne LLP
  • USA
  • June 2 2017

I read a fascinating piece the other day in BankInvestmentConsultant about FINRA’s Enforcement program, specifically about the notion of


Body-Slammed By FINRA, Twice In A Week
  • Ulmer & Berne LLP
  • USA
  • May 30 2017

I sometimes (well, perhaps frequently) use this blog as a vehicle to complain about certain things that FINRA does, or about certain of its rules


Email in eDiscovery
  • Ulmer & Berne LLP
  • Global
  • May 26 2017

Today, email is the most common form of Electronically Stored Information (“ESI”) collected during discovery in litigation. This is not surprising


Venue Tactics Likely to Change in Patent Litigation Following Latest U.S. Supreme Court Ruling
  • Ulmer & Berne LLP
  • USA
  • May 24 2017

Forty percent of all patent litigation cases are filed in the United States District Court for the Eastern District of Texas. This court has become


A Restaurant Lease is a Unique Dish
  • Ulmer & Berne LLP
  • USA
  • May 23 2017

I have previously commented about the similarity in service between a restaurant and law firm (see prior blog). One area where restaurants differ from