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HTMLMutual Funds and Advisers Should Evaluate Oversight of Proxy Advisory Firms
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
August 4, 2014, previously published on July 31, 2014
The SEC has issued guidance regarding proxy advisory firms, in the form of 13 Questions and Answers, published in Staff Legal Bulletin No. 20 (“SLB 20”). The Staff’s guidance addresses, among other things, investment advisers’ responsibilities in voting client proxies and...

 

HTMLWill SEC Stick to Its Guns on Reg. A Plus Regulatory Authority?
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
August 4, 2014, previously published on July 31, 2014
The Jumpstart Our Business Startups Act (the “JOBS Act”) directed the SEC to come up with regulations to help revitalize the Regulation A registration exemption under the Securities Act of 1933 to allow offerings of up to $50 million (up from the current exemption limit of $5 million)...

 

HTMLMisusing Client Assets Results in Sanctions Against a Registered Investment Adviser
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
August 4, 2014, previously published on July 31, 2014
The owner of a Washington state-based investment advisory firm was recently sanctioned by the SEC for multiple violations of the Investment Advisers Act of 1940, including the fraudulent use of client assets for his own personal use.

 

HTMLNo Coach Necessary for Potty-Mouth Employee
Philip B. Phillips; Foley & Lardner LLP;
Legal Alert/Article
August 2, 2014, previously published on July 28, 2014
As we have recently noted, and as many employers have probably bemoaned a time or two, sometimes it feels like the legal concept of “reasonable accommodation” has little to do with real-world notions of what is reasonable, particularly when courts are telling employees they might have...

 

HTMLRenewed Call for Investment Adviser User Fees
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
August 2, 2014, previously published on July 31, 2014
As we reported in previous editions of our Investment Management Newsletter, various persons have proposed that a user fee be imposed on SEC registered investment advisers in order to fund a more extensive examination program by the SEC.

 

HTMLBeware of Promises
Richard C. Segal; Foley & Lardner LLP;
Legal Alert/Article
August 2, 2014, previously published on July 31, 2014
In the early stages of a new venture, things move quickly. An entrepreneur will talk with many different potential team members, some of whom aren’t a good fit, some of whom become co-founders and valued long-term partners, and some of whom may seem like a good fit but ultimately don’t...

 

HTMLProtection Against Foreign Anticompetitive Practices Affecting U.S. Activities
Francis J. Burke, Michael A. Naranjo; Foley & Lardner LLP;
Legal Alert/Article
August 2, 2014, previously published on July 29, 2014
Antitrust laws, like the Sherman Act, protect American markets from anticompetitive practices. But, under the Foreign Trade Antitrust Improvements Act (FTAIA), American antitrust laws only reach foreign conduct in specific circumstances. For example, an anticompetitive act committed abroad must,...

 

HTMLOpportunities and Challenges for Suppliers in Mexico
Steven H. Hilfinger; Foley & Lardner LLP;
Legal Alert/Article
August 2, 2014, previously published on July 31, 2014
Last week the Original Equipment Suppliers Association (OESA) hosted an event entitled “Supplier Opportunities and Challenges in Mexico” that I attended. It was a great program as always by OESA, and I wanted to share some of the highlights that I took away from it.

 

HTMLRecent Cases Discuss U.S. Antitrust Issues in Global Supply Chains
Francis J. Burke, Michael A. Naranjo; Foley & Lardner LLP;
Legal Alert/Article
August 2, 2014, previously published on July 30, 2014
Two recent court decisions examined the reach of U.S. antitrust laws to protect against injuries affecting global supply chains. The Foreign Trade Antitrust Improvement Act (FTAIA) limits the application of U.S. antitrust laws to foreign conduct unless the foreign conduct has (1) a direct,...

 

HTMLComments on Patent Subject Matter Eligibility Guidance Due by July 31
Courtenay C. Brinckerhoff; Foley & Lardner LLP;
Legal Alert/Article
August 2, 2014, previously published on July 28, 2014
This week brings the July 31, 2014 deadline for submitting written comments on two USPTO patent subject matter eligibility guidance documents: The “Myriad-Mayo” Guidance issued March 4, 2014 (for claims involving laws of nature, natural phenomena, and natural products) and the...

 


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