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Foley & Lardner LLP Madison, WI Document Search Results (18) Show: results per page Sort by:  | Regulation A Offerings
Peter D. Fetzer, Terry D. Nelson, A. Michael Primo; Foley & Lardner LLP;
Legal Alert/Article May 4, 2012, previously published on April 2012 Securities cannot be offered in an interstate offering unless the securities are registered with the SEC or an exemption from such registration is available. The SEC is authorized to exempt securities from registration where it finds that registration “is not necessary in the public interest...
| | Legislation Introduced to Create SRO for IAs
Peter D. Fetzer, Terry D. Nelson, A. Michael Primo; Foley & Lardner LLP;
Legal Alert/Article May 4, 2012, previously published on April 2012 Spencer Backus (R-AL) introduced legislation this past week to create a self-regulatory organization (SRO) for “retail” investment advisers with at least $100 million of assets under management.
| | The JOBS Act; Rule 506 Accredited Investor Only Offerings Likely to Be Even More Popular
Peter D. Fetzer, Terry D. Nelson, A. Michael Primo; Foley & Lardner LLP;
Legal Alert/Article May 4, 2012, previously published on April 2012 The Jumpstart Our Business Startups Act (JOBS Act) signed into law by President Obama on April 5, 2012, includes the removal of the general solicitation and general advertising prohibitions for securities offerings conducted under Rule 506 of Regulation D under the Securities Act of 1933 if the...
| | In Light of Recent SEC Guidance, Investment Advisers Should Evaluate and Update Their Social Media Policies
Peter D. Fetzer, Terry D. Nelson, A. Michael (Michael) Primo; Foley & Lardner LLP;
Legal Alert/Article February 2, 2012, previously published on January 30, 2012 The SEC recently issued a National Examination Risk Alert on Investment Adviser Use of Social Media, in which it makes clear that the use of social media by investment advisers is on its radar. “Social media,” for this purpose, includes blogs, wikis, and podcasts, as well as social...
| | Insider Trading Scheme by Hedge Fund Managers and Analysts Subject of Recent Charges by SEC
Peter D. Fetzer, Terry D. Nelson, A. Michael (Michael) Primo; Foley & Lardner LLP;
Legal Alert/Article February 2, 2012, previously published on January 30, 2012 On January 18, 2012, the SEC, in connection with an alleged $78 million insider trading scheme, charged two large hedge fund investment advisory firms and several fund managers and analysts with violations of fraud in federal court. In addition, the U.S. Attorney for the Southern District of New...
| | Recent SEC Enforcement Action Underscores Investment Adviser Responsibility for Fair Valuing Portfolio Securities of Mutual Funds It Advises
Peter D. Fetzer, Terry D. Nelson, A. Michael (Michael) Primo; Foley & Lardner LLP;
Legal Alert/Article February 2, 2012, previously published on January 30, 2012 A recent SEC enforcement action against an investment adviser to mutual funds highlights the adviser's responsibility for fair valuing the funds' portfolio securities. The enforcement action makes it clear that one of the core delegated responsibilities of an investment adviser, on behalf of mutual...
| | Union Must Prove Changed Circumstances to Overcome Bargaining Impasse
Sharon Mollman Elliott; Foley & Lardner LLP;
Legal Alert/Article February 2, 2012, previously published on January 30, 2012 On January 20, 2012, a federal court slapped down the NLRB for insisting that an employer must “test the Union's stated willingness to move” (http://tinyurl.com/7qahopv) after impasse is reached. The Board had ruled that an employer committed unfair labor practices when it declared an...
| | The Consumer Financial Protection Bureau Outlines Its Priorities Under Director Cordray
Christi R. Adams, Martin J. (Marty) Bishop, Timothy S. (Tim) Crisp, Michael C. (Mike) Lueder; Foley & Lardner LLP;
Legal Alert/Article January 23, 2012, previously published on January 19, 2012 Under the leadership of its newly appointed first director, Richard Cordray, the Consumer Financial Protection Bureau (Bureau) has laid out its top three priorities: (1) nonbank supervision; (2) protection against unfair, deceptive, or abusive acts or practices (UDAAP), and (3) disclosures.
| | New CFPB Director’s First Act: Implement Federal Nondepository Supervision Program
Christi R. Adams, Martin J. (Marty) Bishop, Timothy S. (Tim) Crisp, Michael C. (Mike) Lueder; Foley & Lardner LLP;
Legal Alert/Article January 13, 2012, previously published on January 10, 2012 On Thursday, January 5, 2012, President Obama purported to make a recess appointment of Richard Cordray as the first director of the Consumer Financial Protection Bureau (CFPB). Although Senate Republicans are questioning the president's ability to make a recess appointment while the Senate was...
| | Proposed FINRA Rule 4516: Readily Identifiable and Accessible Records
Peter D. Fetzer, Terry D. Nelson, A. Michael (Michael) Primo; Foley & Lardner LLP;
Legal Alert/Article December 30, 2011, previously published on December 29, 2011 In light of Lehman Brothers Inc.'s 2008 bankruptcy and its regulators' “inability to locate certain documents and information” in connection with Lehman's liquidation, the Financial Industry Regulatory Authority (FINRA) recently proposed Rule 4516, which requires carrying and clearing...
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