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Bingham McCutchen LLP San Francisco, MA Document Search Results (36) Show: results per page Sort by:  | Imminent Changes to FINRA Rule 4530 and Recent Rule Proposal to Make BrokerCheck Available on Firm Websites
Kenneth Ashton, Robert A. Buhlman, W. Hardy Callcott, Corey D. Winer; Bingham McCutchen LLP;
Legal Alert/Article February 8, 2013, previously published on February 7, 2013 The Financial Industry Regulatory Authority (“FINRA”) recently filed two rule proposals related to FINRA Rules 4530 and 2267, respectively. The proposal to amend FINRA Rule 4530 received expedited approval by the United States Securities and Exchange Commission (“SEC”) and...
| | Environmental Group Again Challenges DOGGR Failure to Regulate Fracking
Ella Foley Gannon, Camarin E.B. Madigan, Devin M. McDonell; Bingham McCutchen LLP;
Legal Alert/Article January 31, 2013, previously published on January 29, 2013 On January 24, 2013, the Center for Biological Diversity (CBD) filed a challenge, in California’s Alameda County Superior Court, claiming that California’s Underground Injection Control program requires the California Division of Oil, Gas and Geothermal Resources (DOGGR) to regulate...
| | Federal District Court Vacates Critical Habitat Designation for Polar Bears
Ella Foley Gannon, Camarin E.B. Madigan; Bingham McCutchen LLP;
Legal Alert/Article January 29, 2013, previously published on January 24, 2013 A federal district judge in Alaska set aside the United States Department of the Interior, Fish and Wildlife Service’s (Service) final rule designating critical habitat for the polar bear under the Endangered Species Act (ESA). The court determined that the Service’s action was...
| | FINRA Issues Annual Priorities Letter
W. Hardy Callcott, Timothy B. Nagy, Michael D. Wolk; Bingham McCutchen LLP;
Legal Alert/Article January 18, 2013, previously published on January 17, 2013 On Jan. 11, 2013, the Financial Industry Regulatory Authority (FINRA) issued its annual letter to member firms outlining FINRA’s 2013 Regulatory and Examination Priorities. The letter, a combined effort of FINRA Enforcement, Market Regulation, Member Regulation, and the Office of Fraud...
| | FINRA Requests Comment on a Proposed Rule Requiring Disclosure of Conflicts of Interest in Recruitment Compensation Practices
Margaret R. Blake, W. Hardy Callcott, Amy Natterson Kroll; Bingham McCutchen LLP;
Legal Alert/Article January 16, 2013, previously published on January 15, 2013 On Jan. 7, 2013, FINRA issued Regulatory Notice 13-02, Recruitment Compensation Practices (“Notice”), which requests comment on a proposed rule requiring disclosures of financial incentives paid to registered representatives when changing brokerage firms (“Proposed Rules”)....
| | FINRA to File Rule Proposal Regarding Expungement for Unnamed Persons in Arbitration Claims
Todd M. Beaton, Robert A. Buhlman, W. Hardy Callcott; Bingham McCutchen LLP;
Legal Alert/Article December 22, 2012, previously published on December 18, 2012 FINRA’s Board of Governors met recently and authorized FINRA to file with the SEC a total of five proposed rules covering a variety of topics. One of the authorized filings relates to the proposed new procedure for expunging the records of “unnamed persons” in customer-initiated...
| | FINRA Issues Guidance Narrowing the Scope of its New Suitability Rule
David C. Boch, W. Hardy Callcott, Christina N. Davilas, John R. Snyder, Michael R. Weissmann; Bingham McCutchen LLP;
Legal Alert/Article December 22, 2012, previously published on December 17, 2012 FINRA recently issued Regulatory Notice 12-55 (“RN 12-55”), expressing new views on discrete but significant aspects of the suitability rule, FINRA Rule 2111, that went into effect in July 2012.
| | CFPB Confidentiality Amendments
W. Hardy Callcott, Nicholas M. Gess; Bingham McCutchen LLP;
Legal Alert/Article December 22, 2012, previously published on December 17, 2012 Congress has enacted legislation, now awaiting the President’s anticipated approval, which provides significant confidentiality protections to persons who must provide privileged or otherwise confidential information to the Consumer Financial Protection Bureau (CFPB).
| | Northern District of California Issues New E-Discovery Guidelines
Bree Hann, Nargues Motamed, Kevin M. Papay; Bingham McCutchen LLP;
Legal Alert/Article December 7, 2012, previously published on November 29, 2012 On November 27, 2012, the Northern District of California announced new guidelines for the discovery of electronically stored information (ESI), which are effective immediately. The court’s uniform standing order now requires that joint case management statements include a certification that...
| | Co-owners of Software Copyright Held to be Unable to Assign Enforceable Copyright Rights
Geoffrey M. Howard, John A. Polito; Bingham McCutchen LLP;
Legal Alert/Article November 23, 2012, previously published on November 21, 2012 A novel decision from the United States District Court for the Northern District of California, Amaretto Ranch Breedables, LLC v. Ozimals, Inc., would prevent individual software developers and designers who collaborate informally to create software from transferring their individual interests in...
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