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HTMLFailure to Disclose Conflict of Interest to Clients Results in SEC Enforcement Proceeding Against Registered Investment Adviser
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
October 3, 2014, previously published on September 30, 2014
The SEC has made it abundantly clear to registered investment advisers that failure to disclose conflicts of interest to clients will continue to be a basis for SEC enforcement action. A recent example is In the Matter of the Robare Group, Ltd., Mark L. Robare, and Jack L. Jones Jr. (Investment...

 

HTMLCost of Proposed User Fees by Registered Investment Advisers Further Discussed
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
October 3, 2014, previously published on September 30, 2014
As most of our readers are aware, there has been a proposal advocated by various parties, including certain members of Congress, that a funding source to pay for the increase of SEC examinations over registered investment advisers be provided by imposing user fees on registered advisers. You...

 

HTML7th Cir. Explains What Same-Sex Marriage and Voter ID Have in Common
Eric G. Pearson; Foley & Lardner LLP;
Legal Alert/Article
October 3, 2014, previously published on September 30, 2014
What do cases involving challenges to same-sex-marriage and voter ID laws have in common?

 

HTMLAdviser’s Non Compliance With SEC Subpoena Settled by Court
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
October 3, 2014, previously published on September 30, 2014
The SEC’s subpoena powers under the Investment Advisers Act of 1940 were recently affirmed by a court over the objections of the owner and operator of a SEC registered investment advisory firm (see SEC v. Stilwell, 2014 BL252718, S.D.N.Y., 1:14-mc-257 (ALC), 9/11/14).

 

HTML7th Cir. Upholds Springfield's Panhandling Ordinance, Using a Historic Twist
Eric G. Pearson; Foley & Lardner LLP;
Legal Alert/Article
October 3, 2014, previously published on September 29, 2014
It can’t have happened often (if at all) that a retired Justice would decide a new case based on his reading of an opinion in which he dissented.

 

HTMLSEC Valuation Guidance for All Funds
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
October 3, 2014, previously published on September 30, 2014
Tucked away in the SEC adopting release for the new money market rules is valuation guidance for all registered investment companies and business development companies (referred to herein as “funds”).

 

HTMLNextEnergy: Developing Charging and Power Systems for Tomorrow’s Cars, Homes, and Businesses
Jason P. Britt; Foley & Lardner LLP;
Legal Alert/Article
September 30, 2014, previously published on September 29, 2014
In addition to the networking technologies that NextEnergy is developing with its partners, NextEnergy is also developing vehicle charging and power systems that look to trim energy bills for both homes and businesses.

 

HTMLNavigating Employment-Based Visas for Startups
Roy J. Barquet; Foley & Lardner LLP;
Legal Alert/Article
September 30, 2014, previously published on September 26, 2014
Startups often seek to hire highly educated employees with degrees in STEM (science, technology, engineering and science) fields in order to compete with their established competitors. Post-graduate international students have emerged as the leading source of talent for startups as nearly 1/3 of...

 

HTMLFederal Circuit Applies "Searching Review" of Stay Pending CBM Proceeding
Courtenay C. Brinckerhoff; Foley & Lardner LLP;
Legal Alert/Article
September 30, 2014, previously published on September
In Benefit Funding Systems, LLC v. Advance America Cash Advance Centers, Inc., the Federal Circuit upheld the district court’s decision to stay patent infringement litigation while the USPTO Patent Trial and Appeal Board (PTAB) conducts a Covered Business Method (CBM) review of the patent at...

 

HTMLWisconsin Supreme Court 2013-2014 Term Summary Part 3: Recap of Cases Affecting Wisconsin Businesses
Philip C. Babler; Foley & Lardner LLP;
Legal Alert/Article
September 30, 2014, previously published on September 25, 2014
This post provides in a nutshell what businesses need to know about the cases from last year’s term of the Wisconsin Supreme Court.

 


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