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Calfee Halter & Griswold LLP | USA | 30 Jun 2016

SEC Calls For Adoption of Robust Business Continuity and Transition Plans By Investment Advisers

Investment advisers registered with the U.S. Securities and Exchange Commission (SEC) under the Investment Advisers Act of 1940 have generally


Calfee Halter & Griswold LLP | USA | 27 Aug 2015

Financial Crimes Enforcement Network proposal would mandate investment adviser anti-money laundering programs

Institutions, including banks and securities broker-dealers, are subject to requirements imposed by the Bank Secrecy Act (BSA) which, among other


Calfee Halter & Griswold LLP | USA | 20 Mar 2015

SEC and Department of Labor renew call for imposition of securities broker “fiduciary” duty

Speaking to the Securities Industry and Financial Markets Association (SIFMA) on March 17, 2015, U.S. Securities and Exchange Commission (SEC) Chair


Calfee Halter & Griswold LLP | USA | 5 Nov 2014

As SEC rules languish, states step up the initiative on equity crowdfunding

On October 1, 2014, and October 22, 2014, respectively, Washington and Texas joined the increasing number of states that are establishing a mechanism


Calfee Halter & Griswold LLP | USA | 6 Oct 2014

Investment intermediaries and the continuing “uniform fiduciary duty” debate: is change warranted?

On September 30, 2014, SEC Commissioner Michael Piwowar, speaking to the National Association of Plan Advisers, questioned whether creating a uniform


Calfee Halter & Griswold LLP | USA | 11 Mar 2014

FINRA proposes to create “limited corporate financing brokers”

FINRA -- The Financial Industry Regulatory Authority -- has announced a rulemaking initiative aimed at the creation of a new class of FINRA registered


Calfee Halter & Griswold LLP | USA | 10 Feb 2014

SEC guidance on private company mergers & acquisition unregistered “broker” activity sheds new light on the scope of permissible intermediary roles

There has long been substantial uncertainty about whether the services provided by business brokers and similar M&A advisors may trigger


Calfee Halter & Griswold LLP | USA | 24 Jan 2014

U.S. Supreme Court to hear arguments on fundamental presumption underlying securities market fraud class actions

On March 5, 2014, the United States Supreme Court will hear arguments for and against the continued vitality of a critical presumption that has since


Calfee Halter & Griswold LLP | USA | 29 Oct 2013

Sixth Circuit U.S. Court of Appeals upholds “big boy” agreement by sophisticated investor to bar fraud claim

On October 23, 2013, the United States Court of Appeals for the Sixth Circuit summarily concluded that a "big boy" letter agreement signed by a


Calfee Halter & Griswold LLP | USA | 18 Oct 2013

$30 million Massachusetts securities regulatory settlement underscores the scope of enforcement authority under state blue sky laws

On October 2, 2013, in a settlement of administrative enforcement proceedings, Massachusetts Secretary of the Commonwealth William Francis Galvin

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