Mayer Brown LLP New York, NY Document Search Results (51)
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|US Securities and Exchange Commission Settles Its First Whistleblower Anti-Retaliation Case|
Marcus Christian, Adam D. Kanter, Stephanie M. Monaco, Jerome J. Roche, Richard M. Rosenfeld; Mayer Brown LLP;
July 4, 2014, previously published on June 27, 2014The US Securities and Exchange Commission (SEC or the Commission) has announced a $2.2 million settlement in the Commission’s first whistleblower anti-retaliation case. As part of the settlement order, the SEC charged Paradigm Capital Management, Inc., a registered investment adviser, and...
|Supreme Court Issues A Taxpayer Favorable Opinion in United States v. Clarke|
Geoffrey M. Collins, John T. Hildy, Brian W. Kittle; Mayer Brown LLP;
June 30, 2014, previously published on June 20, 2014The Supreme Court held on June 19, 2014, that taxpayers are entitled to examine IRS agents in a summons-enforcement proceeding where taxpayers “point to specific facts or circumstances plausibly raising an inference of bad faith.” The Court held that circumstantial evidence could meet...
|New York State’s Highest Court Clarifies Scope of “No-Action” Clause Under Trust Indenture|
Michael F. Lotito, Joel Moss, Brian Trust; Mayer Brown LLP;
June 19, 2014, previously published on June 18, 2014New York’s highest court has concluded that a “no-action” clause in a New York law-governed indenture does not bar the commencement of an action or proceeding on a securityholder’s common law or statutory claims relating to the securities when the no-action clause at issue...
|US Supreme Court Rules that Bankruptcy Courts Can Issue Proposed Findings in “Core” Matters Involving Stern v. Marshall-Type Claims|
Thomas S. Kiriakos, Michael F. Lotito, Brian Trust; Mayer Brown LLP;
June 17, 2014, previously published on June 10, 2014On June 9, 2014, the US Supreme Court issued a unanimous decision in Executive Benefits Insurance Agency v. Arkison (“Executive Benefits”) that resolved a fundamental bankruptcy procedural issue that had arisen in the wake of Stern v. Marshall (“Stern”).
|Tip of the Month: Managing the Risks and Costs Associated with Governance of “Custodial” Data|
Therese Craparo, Anthony J. Diana; Mayer Brown LLP;
June 4, 2014, previously published on May 30, 2014A large organization is selling one of its business units. Questions arise about how to define the scope of data associated with employees in the business unit being sold that may need to be transferred to the new owner and whether to implement a process for remediating “custodial” data...
|US Department of Justice Announces New Policy to Record Statements|
Kelly B. Kramer, Lori E. Lightfoot, Michael Martinez, William Michael, Lee H. Rubin; Mayer Brown LLP;
June 3, 2014, previously published on May 29, 2014The US Department of Justice (“DOJ”) has announced a new policy with respect to the electronic recording of statements made by individuals in custodial situations prior to a person’s initial appearance before a judicial officer. Beginning July 11, 2014, there will be a...
|New US Water Infrastructure Legislation Passed Today: Will WIFIA Repeat the Success of TIFIA?|
George K. Miller, David Narefsky, John R. Schmidt, Joseph Seliga; Mayer Brown LLP;
May 29, 2014, previously published on May 22, 2014The US Department of Transportation’s TIFIA (Transportation Finance & Innovation Act) credit support program is by far the most successful federal program providing financial support for surface transportation public-private partnerships (P3). Few major P3 transportation projects in...
|Increased Public and Private Scrutiny of High-Frequency Trading|
Joseph De Simone, Jerome J. Roche, Matthew Rossi; Mayer Brown LLP;
May 16, 2014, previously published on May 14, 2014Following the publication of Michael Lewis’ new book, Flash Boys: A Wall Street Revolt (“Flash Boys”), plaintiffs’ lawyers and US government regulators have increasingly focused their attention on financial institutions participating in high-frequency trading...
|Process Is Its Own Reward: The IRS Modifies FATCA Effective Dates & Interim Compliance Standards|
Jared B. Goldberger, Mark H. Leeds; Mayer Brown LLP;
May 12, 2014, previously published on May 5, 2014On May 2, 2014, there were exactly 60 days until withholding and due diligence rules under the Foreign Account Tax Compliance Act (“FATCA”) became effective. Notwithstanding the fact that the US Internal Revenue Service (the “IRS”) has promulgated well over 1,000 pages of...
|First Conflict Minerals Filings Still Due June 2, 2014|
Duncan A. W. Abate, David S. Bakst, Harry R. Beaudry, John P. Berkery, Edward S. Best; Mayer Brown JSM;
May 12, 2014, previously published on May 6, 2014On April 29, 2014, Keith Higgins, the director of the Division of Corporation Finance for the US Securities and Exchange Commission (the Division), issued a statement confirming that “the Division expects companies to file any reports required under Rule 13p-1 on or before” June 2,...