Legal Articles: Fried, Frank, Harris, Shriver & Jacobson LLP

 







Document(s) published by this organization: 68


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Adobe PDFUS$500 and a Click: SEC Proposes “Crowdfunding” Rules for Start-Up Businesses
Chris Austin, Anthony D. Foti, Stuart H. Gelfond, Daniel C. Glazer; Fried, Frank, Harris, Shriver & Jacobson LLP;
Legal Alert/Article
November 11, 2013, previously published on October 30, 2013
On October 23, 2013, the U.S. Securities and Exchange Commission (SEC) proposed rules under the Jumpstart Our Business Startups (JOBS) Act to permit companies to offer and sell securities through “crowdfunding.” In a prior memorandum, we discussed the key elements of crowdfunding...

 

Adobe PDFCFTC Update: CFTC Proposes New Position Limits and Aggregation Rules
Fried Frank Harris Shriver Jacobson LLP;
Legal Alert/Article
November 11, 2013, previously published on November 7, 2013
On November 5, 2013, the Commodity Futures Trading Commission (the “Commission” or “CFTC”) approved proposed position limits rules (the “Proposed Position Limits Rules”) and proposed new aggregation standards for determining compliance with position limits...

 

Adobe PDFProposed Changes to UK Tax Treatment of Partnerships and LLPs: Further Update
Sarah Gabbai, Robert Gaut, Neil Macleod; Fried, Frank, Harris, Shriver & Jacobson (London) LLP;
Legal Alert/Article
October 23, 2013, previously published on October 21, 2013
In its policy paper entitled “Partnerships Review: Proposed NICs changes for (i) Disguised Employment and (ii) Profit Deferral under Alternative Investment Fund Managers Directive” which was finalized on 15 October 2013 and published in response to industry comments and feedback in...

 

Adobe PDFCIVIL FALSE CLAIMS ACT:  U.S. Supreme Court Requests Solicitor General Input on Cases Involving the Wartime Suspension of Limitations Act, the “First-to-File Bar,” and Pleading the “Presentment” Requirement
Douglas W. Baruch, John T. Boese, Kayla Stachniak Kaplan, Jennifer M. Wollenberg; Fried, Frank, Harris, Shriver & Jacobson LLP;
Legal Alert/Article
October 14, 2013, previously published on October 9, 2013
On the opening day of its new term, the Supreme Court invited the Solicitor General to weigh in on two cases involving three topics with enormous practical consequences for False Claims Act ("FCA") litigants. Acting on a pending petition for certiorari, the Supreme Court invited the...

 

Adobe PDFJ.P. Morgan Did Not "Aid and Abet" Amaranth's Manipulation - Second Circuit Articulates and Applies the Standard for Aiding and Abetting Liability under the Commodity Exchange Act
Daniel A. Mullen, J. Peter Ripley, Michael A. Yuffee; Fried, Frank, Harris, Shriver & Jacobson LLP;
Legal Alert/Article
October 11, 2013, previously published on October 8, 2013
In evaluating claims against J.P. Morgan in its role as Amaranth Advisors LLC's futures commission merchant and clearing broker, the Second Circuit followed Learned Hand's 1938 articulation "that aiding and abetting requires the defendant to 'in some sort associate himself with the venture,...

 

Adobe PDFFINRA Gives Broker-Dealers High Marks on Suitability Test
Gregory P. Gnall, Linda Riefberg; Fried, Frank, Harris, Shriver & Jacobson LLP;
Legal Alert/Article
October 7, 2013, previously published on October 2, 2013
With a little over one year of experience in applying its new suitability rule to broker-dealers, FINRA has declared the rule - FINRA Rule 2111 - a fairly successful work in progress. Indeed, according to its recently released Regulatory Notice, while FINRA’s examiners have issued Letters...

 

Adobe PDFTransfer of Employee Personal Data between the EU and the US
Joerg Buschbaum, Jüergen van Kann; Fried, Frank, Harris, Shriver & Jacobson LLP;
Legal Alert/Article
September 27, 2013, previously published on September 25, 2013
Transferring employee personal data (e.g. name, date of birth and address) from the EU to the US requires thoughtful consideration and pro-active action. EU law requires "an adequate level of protection" of privacy in the US, which needs to be established in one of three different ways:...

 

Adobe PDFSEC Releases Proposed Rule on Pay Ratio Disclosure
Amy L. Blackman, Donald P. Carleen; Fried, Frank, Harris, Shriver & Jacobson LLP;
Legal Alert/Article
September 24, 2013, previously published on September 20, 2013
On September 18, 2013, a divided SEC Commission (the “SEC”) voted to propose for public comment rules to implement Section 953(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”), requiring U.S. public companies to provide disclosure...

 

Adobe PDFBeware of “Guilt by Silence” - Failing to Speak Up May Evidence Obstruction
Daniel A. Mullen, J. Peter Ripley, Michael A. Yuffee; Fried, Frank, Harris, Shriver & Jacobson LLP;
Legal Alert/Article
September 24, 2013, previously published on September 16, 2013
On August 20, 2013, in an obstruction of justice case filed against former BP engineer, Kurt E. Mix, Judge Duval of the United States District Court for the Eastern District of Louisiana issued an order allowing the government to introduce evidence that the defendant “sat passively” in...

 

Adobe PDFRegulation FD Training: A Reminder from the SEC
Daniel J. Bursky, Stuart H. Gelfond, Karl A. Groskaufmanis, Valerie Ford Jacob; Fried, Frank, Harris, Shriver & Jacobson LLP;
Legal Alert/Article
September 23, 2013, previously published on September 16, 2013
Every SEC Regulation Fair Disclosure ("Reg. FD") enforcement action details a perceived mistake. In each such instance, there is a "case study" for all public companies. This remains true even when the proceeding is fairly limited, such as the Commission's short order earlier...

 


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