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Results:1-10 of 42

SEC and CFTC jointly adopt identity theft red flags rules applicable to investment advisers and others
  • Foley Hoag LLP
  • USA
  • May 28 2013

On April 10, 2013, the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) jointly adopted identity theft


SEC issues final rule on extractive industry transparency
  • Foley Hoag LLP
  • USA
  • August 29 2012

On August 22, the Securities and Exchange Commission ("SEC") voted two to one in favor of a final rule implementing Section 1504 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.


Massachusetts reports on data breaches for 2007-2011
  • Foley Hoag LLP
  • USA
  • April 24 2012

The Massachusetts Office of Consumer Affairs and Business Regulation has issued its first annual report on data breaches.


FTC releases final report: "Protecting Consumer Privacy in an Era of Rapid Change: Recommendations for Businesses and Policymakers"
  • Foley Hoag LLP
  • USA
  • March 26 2012

FTC has today, at last, released the final version of its original 2010 Report "Protecting Consumer Privacy in an Era of Rapid Change: Recommendations for Businesses and Policymakers."


Some restrictions apply: Ninth Circuit restricts scope of nationwide false advertising claims
  • Foley Hoag LLP
  • USA
  • February 1 2012

In a ruling that may restrict the future viability of false advertising class actions, the Ninth Circuit recently overturned a lower court decision certifying nationwide class status to individuals who purchased or leased an Acura vehicle equipped with an optional “collision mitigation braking system” between August 2005 and December 2008.


More consumer data security and privacy legislation introduced
  • Foley Hoag LLP
  • USA
  • September 12 2011

The latest legislator to enter into the federal data security and privacy sweepstakes is Senator Richard Blumenthal (D-CT) who introduced legislation, S. 1535, on September 8.


Connecticut Banking Commissioner issues orders relating to investment adviser state registration in response to the Dodd-Frank Act for investment advisers transacting business in Connecticut
  • Foley Hoag LLP
  • USA
  • July 18 2011

As previously discussed in a Foley Adviser dated June 22, 2011, the Securities and Exchange Commission (the “SEC”) issued final rule releases relating to the implementation and interpretation of amendments to the Investment Advisers Act of 1940, as amended (the “Advisers Act”), contained within the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”).


SBIC exemption from SEC registration under Dodd-Frank Act
  • Foley Hoag LLP
  • USA
  • July 18 2011

The SEC’s final rules on the implementation of SEC registration requirements for investment advisers under the Investment Advisers Act of 1940, as recently modified by the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”), were published in the Federal Register and will become effective July 21, 2011 (the “Rules”).


SEC amends pay-to-play rule
  • Foley Hoag LLP
  • USA
  • July 1 2011

On June 22, 2011, the Securities and Exchange Commission (“SEC”) released amendments to Rule 206(4)-5 (the “Rule”) under the Investment Advisers Act of 1940 (the "Advisers Act"), which places restrictions on political contributions by an investment advisor or its covered associates, and prohibits the engagement by an investment advisor of unregulated third party solicitors to solicit government entity clients on its behalf.


SEC adopts final Dodd-Frank registration rules and extends deadline for compliance
  • Foley Hoag LLP
  • USA
  • June 22 2011

At an open meeting of the Securities and Exchange Commission (the “SEC”) held earlier today, the SEC adopted final rules relating to the implementation of the changes to the registration requirements contained within the Dodd-Frank Wall Street Reform and Consumer Protection Act.