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SEC Report Highlights Financial Firms’ Cybersecurity Improvements and Shortcomings

USA - August 14 2017 On August 7, the Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) released a Risk Alert summarizing the...

Alan R. Friedman, Daniel Lennard, Arielle Warshall Katz, Kevin P. Scanlan.


Funds Talk: June 2017

USA - June 1 2017 FINRA has introduced an expansion of Rule 4210 (the Rule), effective Dec. 15, 2017, importing margin concepts into the world of mortgage-backed...

Robert N. Holtzman, Philip Bentley, Sarah Hanson, Daniel King, Jennifer R. Sharret, Fabien Carruzzo, Helayne O. Stoopack, Kevin P. Scanlan.


Funds Talk: May 2017

USA - May 1 2017 While the Securities and Exchange Commission (SEC) has garnered significant attention for its increased efforts and focus on regulating and enforcing...

Richard E. Farley, Christopher Auguste, Gilbert K.S. Liu, Steve Ni, Ronald M. Feiman.


Advertising Litigation Report: Vol. 2, No. 2 - Consumer Privacy and Data Security

USA - April 20 2017 A U.S. district court judge in Florida trimmed a proposed class action against fast-food chain Wendy's for its alleged failure to properly protect...

Kurt M. Denk, Benjamin M. Arrow, Norman C. Simon, Eileen M. Patt.


Advertising Litigation Report: Vol. 2, No. 2 - Regulatory

USA - April 20 2017 A negative option is a provision in an offer or agreement to sell or provide any goods or services "under which the customer's silence or failure to...

Kurt M. Denk, Benjamin M. Arrow, Norman C. Simon, Eileen M. Patt.