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HTMLSecond Circuit Defines ‘Customer’ Under FINRA Arbitration Rules
David C. Boch, Michael C. Moran; Bingham McCutchen LLP;
Legal Alert/Article
August 22, 2014, previously published on August 15, 2014
The U.S. Court of Appeals for the Second Circuit has provided a measure of clarity in limiting the definition of a “customer” who may bring a FINRA arbitration under FINRA Rule 12200. The decision is significant for those member firms that provide a broad array of financial services...

 

HTMLTime Is Running Out to Complain About the Complaint Portal
Christi A. Lawson; Foley & Lardner LLP;
Legal Alert/Article
August 22, 2014, previously published on August 18, 2014
You have 4 days! August 22, 2014 is the deadline to submit your comments in response to the Consumer Financial Protection Bureau’s (CFPB) proposed disclosure of consumer complaint narrative data. (https://federalregister.gov/a/2014-17274).

 

HTMLFinancing Furnaces: What Should Utilities Consider?
Jack J. Lah; Weltman, Weinberg & Reis Co., L.P.A.;
Legal Alert/Article
August 21, 2014, previously published on August 14, 2014
The natural gas boom our country has experienced over the past several years has been nothing short of impressive. We finally have the opportunity, if we choose to seize it, to attain true energy independence. In order to realize this independence, however, we need the cooperation of those in...

 

HTMLFINRA Announces Creation of Arbitration Task Force
Rogers Hardin;
Legal Alert/Article
August 21, 2014, previously published on August 2014
On July 17, 2014, the Financial Industry Regulation Authority (“FINRA”) announced the formation of a task force to consider and recommend changes to the FINRA arbitration process. The task force’s stated mission is to “consider possible enhancements to its arbitration forum...

 

HTMLMassachusetts Revises Campaign Finance Law
Matthew Bobys, Kenneth A. Gross, Ki P. Hong, Melissa L. Miles, Patricia M. Zweibel; Skadden, Arps, Slate, Meagher & Flom LLP;
Legal Alert/Article
August 19, 2014, previously published on August 12, 2014
On August 1, 2014, Massachusetts Gov. Deval Patrick signed House Bill No. 4366 amending the state's campaign finance laws. The amendments, among other things, increase the contribution limit for individual contributors to candidates and establish disclosure requirements for certain entities that...

 

HTMLMulti-Million Dollar Settlements Prompt Record Filing of TCPA Lawsuits
Wilson G. Barmeyer, Thomas M. Byrne, Ellen M. Dunn, Allegra J. Lawrence-Hardy, Lewis S. Wiener; Sutherland Asbill & Brennan LLP;
Legal Alert/Article
August 18, 2014, previously published on August 12, 2014
High-dollar settlements of class actions filed under the Telephone Consumer Protection Act appear to have prompted the filing of a record number of new TCPA cases in federal courts nationwide. In the largest TCPA settlement announced to date, on July 29, 2014, a federal court in Illinois...

 

HTMLEU Regulatory Reform: The Past Six Months
Dentons Canada LLP;
Legal Alert/Article
August 14, 2014, previously published on July 30, 2014
It seems a long time since the global agreement on the need for radical reform of financial services regulation in the wake of the financial crisis. We always knew measures would take months and years in the negotiation and implementation stages. Suddenly, since the beginning of 2014, several...

 

HTMLDepartment of Finance Releases Proposal for Canadian Bail-In Regime
Ana Badour, Frédéric Cotnoir, Barry J. Ryan; McCarthy Tétrault LLP;
Legal Alert/Article
August 11, 2014, previously published on August 5, 2014
On August 1, 2014, the Department of Finance issued for comment the Taxpayer Protection and Bank Recapitalization Regime: Consultation Paper. The Consultation Paper outlines the proposed bail-in regime applicable to Canada’s domestic systemically important banks (D-SIBs),[1] as a follow-up to...

 

HTMLRussia/Ukraine Economic Sanctions Update: Canada Expands Sanctions List against Russian and Ukrainian Individuals and Entities
John W. Boscariol, Robert A. Glasgow, Brandon Mattalo; McCarthy Tétrault LLP;
Legal Alert/Article
August 11, 2014, previously published on August 7, 2014
On August 6, 2014, the continued turmoil in eastern Ukraine caused the Government of Canada to expand its economic sanctions against Russia and Ukraine by adding entities and individuals to its lists of “designated persons”.

 

Adobe PDFNew York State Department of Financial Services Proposes a “BitLicense” Regulatory Framework for Virtual Currency Businesses
Matthew Bisanz, Alex C. Lakatos, Jeffrey P. Taft; Mayer Brown LLP;
Legal Alert/Article
August 7, 2014, previously published on August 6, 2014
The New York State Department of Financial Services (the “NYSDFS”) has released a proposed regulatory framework (the “Proposed Rules”) for New York virtual currency businesses. The Proposed Rules build upon the NYSDFS’ prior activities in the virtual currency space....

 


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