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HTMLSEC Reverses Course and Awards Dodd-Frank Whistleblower $400,000
Bryan B. House, Pamela L. Johnston, Courtney Worcester; Foley & Lardner LLP;
Legal Alert/Article
October 7, 2014, previously published on October 3, 2014
On July 31, 2014, the SEC awarded $400,000 to a whistleblower who had reported internally before providing information to the SEC. The award was unique because the SEC’s Claims Review Staff had denied the whistleblower’s claim on the grounds that the information provided had not been...

 

HTMLFederal Circuit Upholds Inequitable Conduct Post Therasense For Withheld Information
Courtenay C. Brinckerhoff; Foley & Lardner LLP;
Legal Alert/Article
October 7, 2014, previously published on October 2, 2014
In American Calcar, Inc. v. American Honda Motor Co., the Federal Circuit upheld the district court’s finding that three Calcar patents are unenforceable due to inequitable conduct. Both courts reached this decision of inequitable conduct post Therasense despite the fact that the validity of...

 

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”).

 

HTMLU.S. Regulations Can Raise Risks for Reshoring and Next-Generation Manufacturing
Gregory Husisian; Foley & Lardner LLP;
Legal Alert/Article
October 3, 2014, previously published on October 1, 2014
More than a third of United States businesses are either bringing back or considering bringing back manufacturing activity to the U.S. through “reshoring.” Although one would think that bringing production back to the U.S. would minimize the impact of U.S. regulations of international...

 

HTMLUpdate on Insider Trading in Mutual Fund Shares
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
October 3, 2014, previously published on September 30, 2014
As we reported in 2013, the U.S. Court of Appeals for the Seventh Circuit left open the possibility that insider trading prohibitions may apply to trading in mutual fund shares, and remanded the case to the district court to determine whether the insider’s alleged conduct properly fit under...

 

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...

 

HTMLCh Ch Ch Ch Changes: New VETS-4212 Report Means More Changes for Federal Contractors
Carmen N. Couden; Foley & Lardner LLP;
Legal Alert/Article
October 3, 2014, previously published on September 29, 2014
Ch-ch-ch-ch-changes. David Bowie’s familiar refrain has become the motto of federal contractors everywhere as they struggle to keep pace with the numerous regulatory changes and enforcement initiatives currently being advanced by the Office of Federal Contract Compliance Programs...

 

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?

 

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...

 

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).

 


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