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Financial services update vol. 10, issue 21
  • Winston & Strawn LLP
  • United Kingdom, USA
  • June 15 2015

Daniel Sibears, Executive Vice President for Regulatory Operations at the Financial Industry Regulatory Authority (“FINRA”), gave a speech at a


Financial services update vol. 10, issue 16
  • Winston & Strawn LLP
  • USA
  • April 27 2015

On March 25, the Securities and Exchange Commission ("SEC") adopted final amendments to Regulation A and other rules and forms, as required by Title


Financial services update February 17 2015 judicial developments
  • Winston & Strawn LLP
  • USA
  • February 17 2015

On February 10th, the Ninth Circuit considered the meaning of the term “Capital Treatment Event” as used in the indenture for certain trust preferred


Financial services update March 31 2014 judicial developments
  • Winston & Strawn LLP
  • USA
  • March 31 2014

On March 21st, the D.C. Circuit substantially upheld the Federal Reserve Board's regulations imposing a cap on the per-transaction debit card fees


Financial services update March 31 2014 industry news
  • Winston & Strawn LLP
  • USA
  • March 31 2014

On March 28, Bloomberg reported that a U.S. District Judge in Manhattan declined to dismiss a securities lawsuit over residential mortgage-backed


Company agrees to pay $300,000 to resolve SEC charge over employee data breach
  • Winston & Strawn LLP
  • USA
  • June 13 2013

Proxy advisor, Institutional Shareholder Services Inc. (ISS), recently agreed to pay a $300,000 fine arising out of a data breach after an SEC


Financial services update July 21 2014 industry news
  • Winston & Strawn LLP
  • USA
  • July 21 2014

On July 18th, Risk.net recounted former SEC Chair Harvey Pitt's proposal for resolving concerns that U.S. firms are avoiding U.S. oversight of their


Risks in leveraged ETF were adequately disclosed
  • Winston & Strawn LLP
  • USA
  • July 29 2013

On July 22nd, the Second Circuit affirmed the dismissal of a putative class action securities fraud lawsuit. Plaintiffs allege that the offering


Illuminating case on the tax effect of forfeitures and clawbacks
  • Winston & Strawn LLP
  • USA
  • March 17 2014

One of the many unresolved issues in the area of compensation clawbacks (in addition to the fact that we don't have SEC rules on Dodd-Frank Act


US Supreme Court imposes strict statute of limitations requirement on SEC
  • Winston & Strawn LLP
  • USA
  • March 14 2013

In a sweeping decision, Gabelli v. Securities and Exchange Commission, the US Supreme Court unanimously imposed a strict five year statute of