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HTMLMargin Trading and Short Selling on Shanghai Stock Exchange by Foreign Investors
Fred Chang, Yan Li, Jin Wang; Bingham McCutchen LLP;
Legal Alert/Article
October 6, 2014, previously published on September 30, 2014
Following the establishment of the “Shanghai-Hong Kong Stock Connect Program” (“Program”) this past June, the Shanghai Stock Exchange (“SSE”) issued two rules on September 26, 2014, introducing certain changes to the Program, the most significant of which is the...

 

HTMLFINRA Requests Comments on Revised Proposal to Adopt Rule Mandating Quarterly Delivery of Customer Account Statements
Saia M. Smith, Michael R. Weissmann; Bingham McCutchen LLP;
Legal Alert/Article
October 6, 2014, previously published on September 26, 2014
On September 16, 2014, the Financial Industry Regulatory Authority, Inc. (“FINRA”) requested comments on a revised proposal to adopt a consolidated rule regarding delivery of customer account statements. FINRA Rule 2231 would bring NASD Rule 2340 (Customer Account Statements) and NYSE...

 

HTMLSEC Announces Enforcement Initiative Against Corporate Insiders for Violations of Reporting Requirements
Daniel N. Budofsky, Barry N. Hurwitz, David I. Miller; Bingham McCutchen LLP;
Legal Alert/Article
September 25, 2014, previously published on September 15, 2014
On September 10, 2014, the Securities and Exchange Commission (SEC) announced a series of enforcement actions against 28 officers, directors, and major shareholders — so-called “insiders” — for failure to file timely reports under Sections 16(a), 13(d) and 13(g) of the...

 

HTMLFCC Sets Deadline for and Narrows Scope of Special Access Mandatory Data Collection
Russell M. Blau, Joshua M. Bobeck, Eric J. Branfman, Tamar E. Finn, Andrew D. Lipman; Bingham McCutchen LLP;
Legal Alert/Article
September 25, 2014, previously published on September 18, 2014
On Monday, September 15, 2014, the FCC’s Wireline Competition Bureau (“WCB”) issued a Reconsideration Order revising the mandatory data collection in the special access proceeding based on concerns raised by the Office of Management and Budget (“OMB”). In this Order,...

 

HTMLAs World Leaders Gather at the UN Climate Summit, the Aviation Sector Could Provide a Template for International Climate Progress
John P. Schmitz, Martina Simpkins; Bingham McCutchen LLP;
Legal Alert/Article
September 25, 2014, previously published on September 23, 2014
More than 120 heads of state, including President Barack Obama, gathered for the Climate Summit hosted by UN Secretary-General Ban Ki-moon in New York City on September 23. Financial pledges to the Green Climate Fund and statements regarding the leaders’ commitments to reach agreement on a...

 

HTMLMandatory Sick Leave Law Signed by Governor Brown
Jacqueline Cookerly Aguilera, Mae Kieng Hau; Bingham McCutchen LLP;
Legal Alert/Article
September 25, 2014, previously published on September 12, 2014
California employers should take note of the recently passed mandatory sick leave law requiring all employers, regardless of size, to provide at least three days of annual paid sick leave to workers beginning July 1, 2015. With Governor Jerry Brown’s signing of the Healthy Workplaces, Healthy...

 

HTMLCFTC Issues JOBS Act Exemptive Relief: Resolves Issues Surrounding the Use of General Solicitation by Private Funds
Michelle R. Cirillo, Derek Wolfgruber; Bingham McCutchen LLP;
Legal Alert/Article
September 25, 2014, previously published on September 15, 2014
On September 9, 2014, the Commodity Futures Trading Commission’s (“CFTC”) Division of Swap Dealer and Intermediary Oversight (the “Division”) issued a letter which provides exemptive relief to commodity pool operators (“CPOs”) of private funds from the...

 

HTMLLimited Partners of Investment Managers may be Subject to Self-Employment Taxes
Donald-Bruce Abrams, Charles R. Bogle, Anthony J. Carbone, Thomas Gray; Bingham McCutchen LLP;
Legal Alert/Article
September 25, 2014, previously published on September 15, 2014
On September 5, 2014, the Internal Revenue Service (“IRS”) issued Chief Counsel Advice 201436049 (the “CCA”), concluding that members of an investment manager were subject to self-employment (“SE”) taxes with respect to their earnings from the investment manager....

 

HTMLA Guide to Regulation AB II
Charles A. Sweet; Bingham McCutchen LLP;
Legal Alert/Article
September 12, 2014, previously published on September 10, 2014
On August 27, 2014, the Securities and Exchange Commission adopted the long-awaited comprehensive amendments to Regulation AB and the other rules affecting the offering process for asset-backed securities, commonly known as “Regulation AB II.” These new rules will, among other things,...

 

HTMLSEC Adopts Rules Regarding Third-Party Due Diligence Reports in Connection With Offerings of Asset-Backed Securities, and Other Rules for Nationally Recognized Statistical Rating Organizations
Charles A. Sweet; Bingham McCutchen LLP;
Legal Alert/Article
September 12, 2014, previously published on September 2, 2014
The Securities and Exchange Commission (the “SEC”) has adopted a variety of rules (the “Adopting Release”) relating to nationally recognized statistical rating organizations (“NRSROs”), as required by the Dodd-Frank Wall Street Reform and Consumer Protection Act...

 


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