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HTMLMicrocap Securities: OCIE Issues Risk Alert Related to Broker-Dealer Controls Regarding Customer Sales
Amy Natterson Kroll, Elizabeth A. Marino, Michael R. Weissmann; Bingham McCutchen LLP;
Legal Alert/Article
November 10, 2014, previously published on October 17, 2014
On October 9, 2014, the Securities and Exchange Commission’s (“Commission”) Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk Alert reporting on significant deficiencies it found in its sweep of 22 broker-dealers that regularly sell microcap...

 

HTMLSeventh Circuit Expands Apportionment Defense, Potentially Limiting Joint and Several CERCLA Liability
Jeremy Esterkin, Denise G. Fellers, Mae Kieng Hau, Rick R. Rothman; Bingham McCutchen LLP;
Legal Alert/Article
November 10, 2014, previously published on October 15, 2014
The Seventh Circuit issued two significant decisions relating to the cleanup of the Lower Fox River and Green Bay Superfund Site (the “Site”) on September 25, 2014. In the first, NCR Corp. v. George A. Whiting Paper Co., No. 13-2447 (7th Cir. Sept. 25, 2014), the Court reaffirmed that a...

 

HTMLRecent Questionnaire from the Kanto Local Finance Bureau
Tomoko Fuminaga, Rie Nitta, Yoshiyuki Omori, Christopher P. Wells, Koji Yamamoto; Bingham McCutchen Murase Sakai Mimura Aizawa Foreign Law Joint Enterprise;
Legal Alert/Article
November 10, 2014, previously published on October 24, 2014
We understand that on or around October 22, 2014, all financial instruments business operators registered with the Kanto Local Finance Bureau of Japan (the “KLFB”) to engage in an “investment advisory and agency business” (an “IAA”) received a questionnaire from...

 

HTMLFINRA Solicits Comment on Proposed Rule to Implement CARDS
Yevedzo R. Chitiga, Russell M. Fecteau, Michael R. Weissmann; Bingham McCutchen LLP;
Legal Alert/Article
November 10, 2014, previously published on October 13, 2014
FINRA is seeking comments on a proposed rule to implement the Comprehensive Automated Risk Data System (“CARDS”). FINRA published a CARDS concept proposal on December 23, 2013 (the “Concept Proposal”), to which it received approximately 800 comment letters. According to...

 

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...

 

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...

 

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....

 

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...

 

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...

 

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...

 


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