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Results: 1-10 of 364

Not Every Broker-Dealer is an EB-5 Broker-Dealer
  • Greenberg Traurig LLP
  • USA
  • April 18 2016

Nearly all U.S. broker-dealers are members of the Financial Industry Regulatory Authority (FINRA). FINRA regulates, and provides oversight and


Best Buy: First Appellate Decision Interpreting and Applying Halliburton II Rejects Class Certification Based Upon the Absence of “Front-End” Price Impact
  • Greenberg Traurig LLP
  • USA
  • April 15 2016

On April 12, 2016, the Eighth Circuit Court of Appeals in IBEW Local 98 Pension Fund v. Best Buy Co., Inc., et al., CV No. 14-3178, became the first


SEC Seeks Additional Resources for Examination and Enforcement in FY 2017 Budget Request
  • Greenberg Traurig LLP
  • USA
  • April 7 2016

The Securities and Exchange Commission (SEC) recently presented the President's Fiscal Year 2017 budget request for the SEC to Congress. Among the


OCC Issues New Guidance and Policies on Enforcement Actions and Civil Monetary Penalties Against Institutions and Individuals
  • Greenberg Traurig LLP
  • USA
  • April 4 2016

The Office of the Comptroller of the Currency (“OCC”) recently released new guidance on the process it uses when considering enforcement actions


The Dutch Act on Collective Settlement of Mass Claims (WCAM) Goes Global Again: A Forum Outside the United States to Resolve Mass Claims Disputes Internationally
  • Greenberg Traurig LLP
  • Netherlands, USA
  • March 29 2016

On March 14, 2016, Ageas (formerly, Fortis Bank) and several foundations representing the Fortis shareholders announced a EUR 1.204 billion


Section 162(m): Actions that Should be Taken by March 30, 2016, andor in this Year’s Proxy to Avoid the $1,000,000 Deduction Limitation
  • Greenberg Traurig LLP
  • USA
  • March 22 2016

This GT Alert serves to remind our publicly held clients of things that need to be done early this year to minimize or avoid the application of the


Propriety of Constitutional Challenges to Agency Administrative Proceedings Discussed by Federal Regulators, and Supported by at Least One
  • Greenberg Traurig LLP
  • USA
  • March 16 2016

Top enforcement chiefs from the SEC, CFTC, DOJ and FINRA participated on a panel discussion of current enforcement trends and issues during the


SEC Continues its Focus on Advisory Fees
  • Greenberg Traurig LLP
  • USA
  • March 15 2016

The SEC recently brought a settled enforcement action against an SEC-registered investment adviser and its CEOCCO that represents a continued focus


SEC Announces National Compliance Outreach Seminar for Investment Adviser, Investment Company Personnel
  • Greenberg Traurig LLP
  • USA
  • March 11 2016

On March 9, the SEC announced that it would be holding a Compliance Outreach Program for investment adviser and investment company senior officers on


Eleventh Circuit Raises Important Questions About Challenging the Constitutionality of SEC Administrative Proceedings
  • Greenberg Traurig LLP
  • USA
  • March 10 2016

Two weeks ago, the United States Court of Appeals of the Eleventh Circuit heard oral argument in consolidated appeals by the SEC to overturn two