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HTMLImproving Prospectus Disclosure
Peter D. Fetzer, Jason M. Hille, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
September 2, 2014, previously published on August 29, 2014
The staff of the SEC’s Division of Investment Management issued guidance urging mutual funds to be more succinct, avoid technical language and use plain English in the Summary Section of fund prospectuses.

 

HTMLAlternative Investment Strategies
Peter D. Fetzer, Jason M. Hille, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
September 2, 2014, previously published on August 29, 2014
Funds that use alternative investment strategies should be aware of the SEC focus on their use in mutual funds and should evaluate their policies and procedures regarding, among other things, asset segregation and liquidity determination. Additional information regarding SEC statements on...

 

HTMLHumira Patent Invalid for Obviousness Type Double Patenting
Courtenay C. Brinckerhoff; Foley & Lardner LLP;
Legal Alert/Article
September 2, 2014, previously published on August 25, 2014
In AbbVie Inc. v. Kennedy Institute of Rheumatology Trust, the Federal Circuit affirmed the district court's finding that a second patent covering AbbVie's Humira product is invalid under the doctrine of obviousness-type double patenting. The decision reaffirms the court's stance in Gilead that the...

 

HTMLSEC Proposes Extension of Principal Trade Rule for Registered Advisers/Broker-Dealers
Peter D. Fetzer, Jason M. Hille, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
September 2, 2014, previously published on August 29, 2014
The SEC has proposed extending to December 31, 2016, the sunset date for the expiration of Rule 206(3)-3T (the “Rule”) under the Investment Advisers Act of 1940 (the “Advisers Act”). The Rule allows SEC-registered investment advisers who are also SEC-registered...

 

HTML“Pay-to-Play” for Investment Advisers: The SEC’s First Prosecution
Peter D. Fetzer, Jason M. Hille, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
September 2, 2014, previously published on August 29, 2014
On June 20, 2014, the Securities and Exchange Commission (“SEC”) brought and settled its first case under the “pay-to-play” rules for investment advisers. The SEC charged TL Ventures Inc. with violating the “pay-to-play” rules by continuing to receive advisory...

 

HTMLAnother Conflict of Interest Enforcement Action Taken by the SEC Against a Registered Adviser
Peter D. Fetzer, Jason M. Hille, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
September 2, 2014, previously published on August 29, 2014
The president of a registered investment advisory firm, Jason D. Huntley, agreed to, among other things, a five-year bar from association with any investment adviser, broker, dealer, municipal securities dealer or transfer agent, for violations of the “anti-fraud” provisions under the...

 

HTMLPersons Registered as Municipal Advisers Face SEC Examination Program
Peter D. Fetzer, Jason M. Hille, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
September 2, 2014, previously published on August 29, 2014
The SEC recently announced that its Office of Compliance Inspections and Examinations (“OCIE”) will shortly commence an examination program of registered municipal advisers. The examination program will be phased in over the next few years. The focus of the examinations will be certain...

 

HTMLTwo Important Deadlines Approaching for Self-Insured Group Health Plans
Casey K. Fleming, Leigh C. Riley; Foley & Lardner LLP;
Legal Alert/Article
September 1, 2014, previously published on August 26, 2014
If you sponsor a self-insured group health plan, then November includes two important deadlines: (1) you must obtain a health plan identifier for your plan, and (2) you must report the number of participants for whom a transitional reinsurance fee is due.

 

HTMLTrade Secrets - Protecting the (Corporate) Family Jewels
Paul R. Monsees; Foley & Lardner LLP;
Legal Alert/Article
September 1, 2014, previously published on August 27, 2014
Disputes regarding trade secrets and corporate espionage are becoming perpetual fixtures in the news. One of the most common scenarios is that a key employee departs to join a competitor and his or her former employer quickly learns that, just before departing, the former employee copied critical...

 

HTMLDraft ISO 14001:2015 Standard Available for Public Comment
Karen Lutz; Foley Lardner LLP;
Legal Alert/Article
September 1, 2014, previously published on August 18, 2014
The revision of the ISO 14001 standard is now open for public comment, with the final standard publication expected in 2015, affecting over 280,000 certified organizations worldwide. Once final, the standard is expected to be in place until 2025.

 


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