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Adobe PDFSEC Proposes Disclosure Rules on Hedging Policies: Will Not Affect 2015 Proxy Season; Requires Description of Hedging Policies, Not Specific Transactions
Robert Buckholz, Catherine M. Clarkin, Jay Clayton, Audra D. Cohen, H. Rodgin Cohen; Sullivan & Cromwell LLP;
Legal Alert/Article
March 27, 2015, previously published on February 10, 2015
Yesterday, the SEC proposed rules requiring disclosure of hedging policies for directors, officers and employees of U.S. public companies. These rules would require each public company to disclose, in any proxy or information statement relating to director elections, whether its directors, officers...

 

HTMLSEC Gives Insider Outside Bounty for Whistleblowing
Thomas R. Bundy, Patricia A. Gorham, Cynthia M. Krus, Allegra J. Lawrence-Hardy, Robert D. Owen; Sutherland Asbill & Brennan LLP;
Legal Alert/Article
March 27, 2015, previously published on March 27, 2015
On March 2, 2015, the U.S. Securities and Exchange Commission awarded a whistleblower at least $475,000 for providing original, high-quality information that led to a successful SEC enforcement action. The whistleblower is a former company officer, which is particularly noteworthy since officers...

 

Adobe PDFRecent Developments in BSA/AML: SEC’s Waiver of Rule 506(d) Disqualification for Oppenheimer & Co. Sparks Dissent Among SEC Commissioners
Nicolas Bourtin, H. Rodgin Cohen, Elizabeth T. Davy, Mitchell S. Eitel, Jared M. Fishman; Sullivan & Cromwell LLP;
Legal Alert/Article
March 27, 2015, previously published on February 12, 2015
On January 27, 2015, the Securities and Exchange Commission (the “SEC”) issued an order granting a waiver to Oppenheimer & Co. Inc. (“Oppenheimer”), a full-service broker-dealer, from automatic disqualification under Rule 506(d) of the SEC’s Regulation D (the...

 

Adobe PDFRecent Developments in BSA/AML: FDIC Weighs In on “De-Risking;” FinCEN and SEC Bring Actions Against Oppenheimer & Co. for BSA/AML Violations
Nicolas Bourtin, H. Rodgin Cohen, Elizabeth T. Davy, Mitchell S. Eitel, Jared M. Fishman; Sullivan & Cromwell LLP;
Legal Alert/Article
March 27, 2015, previously published on February 2, 2015
January ended on a very active note in the area of Bank Secrecy Act (“BSA”)/anti-money laundering (“AML”) compliance, with the Federal Deposit Insurance Corporation (the “FDIC”), the Securities and Exchange Commission (“SEC”), and the Financial Crimes...

 

HTMLBeware of Misleading Financial Advisor Credentials
John J. Cronan, Sigmund D. Schutz; Preti, Flaherty, Beliveau & Pachios, LLP;
Legal Alert/Article
March 26, 2015, previously published on January 12, 2015
What is an investor to make of the alphabet soup list of privately run credentialing organizations issuing credentials to financial advisors? One of the most reputable ones, the Certified Financial Planner (CFP) Board, cautions that "accredited," "chartered,"...

 

HTMLOmnicare Opinion Expands Liability for Expressions of Opinion Under Section 11
Brittany M. Cambre, Samuel J. Casey, Patricia A. Gorham, Joel J. Hughey, Peter Ligh; Sutherland Asbill & Brennan LLP;
Legal Alert/Article
March 26, 2015, previously published on March 25, 2015
The Supreme Court, in Omnicare, Inc. v. Laborers District Council Construction Industry Pension Fund, 575 U.S. --- (March 24, 2015), expanded the scope of liability for expressions of opinions under Section 11 of the Securities Act of 1933. While keeping to a relatively constrained view of the...

 

HTMLLargest One-Time Settlement in Maine History Involving Alleged Unfair Credit Rating Practices
John J. Cronan, Sigmund D. Schutz; Preti, Flaherty, Beliveau & Pachios, LLP;
Legal Alert/Article
March 26, 2015, previously published on February 6, 2015
The Maine Attorney General announced earlier this week that its $21.5 million share of the multi-state settlement with Standard & Poor's over credit rating practices is the "largest ever one-time settlement in Maine history." The settlement received substantial press attention...

 

HTMLMaine Securities Regulator Testifies Before U.S. Senate Committee on Aging; Touts Success of Maine Program to Combat Senior Financial Exploitation
John J. Cronan, Sigmund D. Schutz; Preti, Flaherty, Beliveau & Pachios, LLP;
Legal Alert/Article
March 26, 2015, previously published on February 26, 2015
As the North American Securities Administrators Association (NASAA) reports, on February 4, 2015 Maine Securities Administrator Judith Shaw testified before the U.S. Special Committee on Aging. Shaw emphasized the difficulty in addressing senior financial exploitation, noting that many elderly...

 

HTMLPrivate Placements: Retail Broker-Dealers Shape Terms of Placements to Sell More of Them
John J. Cronan, Sigmund D. Schutz; Preti, Flaherty, Beliveau & Pachios, LLP;
Legal Alert/Article
March 26, 2015, previously published on January 5, 2015
A recent Reuters special report shines light on an "increasingly common" practice among broker-dealers of changing -- and shaping -- the terms of private placements they sell. The report highlights several points:

 

HTMLCrowdfunding -- Less Useful and More Risky?
John J. Cronan, Sigmund D. Schutz; Preti, Flaherty, Beliveau & Pachios, LLP;
Legal Alert/Article
March 26, 2015, previously published on January 30, 2015
It's great that Maine and about fifteen other States are making it easier for startups to raise money by authorizing crowdfunding -- an online money-raising strategy that may be a way of assisting small businesses and start-ups looking for investment capital to get their ventures off the ground.

 


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