We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
Results 1 to 5 of 6
Most popular |Most recent


New Cybersecurity Regulations in Colorado for Broker-Dealers and Investment Advisors

USA - July 24 2017 Starting July 15, 2017, Colorado broker-dealers and investment advisers must “establish and maintain written procedures reasonably designed to ensure...


U.S. Supreme Court Reverses 10th Circuit -Limits SEC Disgorgement Claims to Five Years

USA - June 5 2017 On June 5, 2017, The United States Supreme Court held that because SEC disgorgement operates as a penalty under 28 U.S.C. 2462, any claim for...


Circuit Split Deepens as 9th Circuit Rejects "Ascertainability" in Class Certification

USA - January 20 2017 On January 3, 2017, in Briseno v. ConAgra Foods, Inc., No. 15-55727, 2017 U.S. App. LEXIS 20 (9th Cir. Jan. 3, 2017), the Ninth Circuit Court of...


10th Circuit Finds Lender's Membership Interests in an LLC Are Not Investment Contracts in Quiznos Restructuring Lawsuit

USA - January 9 2017 On December 13, 2016, the 10th Circuit Court of Appeals addressed for the first time the circumstances under which an LLC membership interest...


10th Circuit Rejects SEC's Use of Administrative Law Judges

USA - December 28 2016 On December 27, 2016, the 10th Circuit Court of Appeals ruled in favor of a Colorado businessman in Bandimere v. U.S. Securities and Exchange...