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Investment Management Legal Regulatory Update - February 2017
  • Morrison & Foerster LLP
  • USA
  • February 3 2017

On January 13, 2017, the U.S. Department of Labor...


The Investment Funds and Advisers 2016 Year-End Client Update Recap
  • Sidley Austin LLP
  • USA
  • January 17 2017

As the developments affecting the investment management industry continue to unfold, we have once again prepared our annual compendium of relevant


FINRA proposes changes to retail communications rules
  • Thompson Hine LLP
  • USA
  • June 2 2015

On May 18, 2015, FINRA proposed changes to several of its rules governing communications with the public, including Rule 2210 (Communications with


Community bank stock on the over-the-counter market
  • Butler Snow LLP
  • USA
  • October 22 2013

Over the last 12 months, we have seen an increase in the number of community banks interested in generating liquidity for their shareholders. The


In case you missed it - July 2012
  • Stoel Rives LLP
  • USA
  • July 12 2012

The SEC adopted final rules late last month, here, that: Direct securities exchanges to prohibit the listing of a company with no compensation committee comprised of at least three independent directors.


Will crowdfunding really pay off for startups?
  • McCarter & English LLP
  • USA
  • May 2 2012

Entrepreneurs had reason to celebrate on March 27 when the House of Representatives passed the Jumpstart Our Business Startups (JOBS) Act and sent it to the President, who will sign it into law this Thursday.


This week in securities litigation
  • Dorsey & Whitney LLP
  • USA
  • September 30 2011

Current market volatility was addressed this week when the Commission announced that the exchanges and FINRA would be filing updated circuit breaker rules.


NASDAQ, NYSE and NYSE Amex propose stricter listing standards for reverse merger IPO companies
  • Proskauer Rose LLP
  • USA
  • September 28 2011

Initial public offerings effected through a reverse merger, exchange offer or other non-traditional process involving a shell company have garnered increased attention by the Securities and Exchange Commission, the Financial Industry Regulatory Authority and the national listing exchanges.


Strike three: dismissal of the third Section 47(b) lawsuit brought against mutual fund trustees and distributor for the alleged failure of broker-dealers that receive Rule 12b-1 fees to register as investment advisers
  • Dechert LLP
  • USA
  • June 15 2011

Following a series of much-publicized demand letters served in 2009 upon the trustees of three mutual fund complexes (Franklin Templeton, Eaton Vance and OppenheimerFunds), derivative lawsuits were filed last year by the Milberg firm against the funds’ trustees and distributors.


“Sunshine is the best disinfectant”: a financial advisory update
  • McDermott Will & Emery
  • USA
  • April 14 2011

Since December 2010, the Delaware Court of Chancery has been emphasizing the need for additional disclosures relating to financial advisors in merger and acquisition transactions.