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Documents on securities law
 

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HTMLBoard Members Beware: The SEC is Watching
James J. Giszczak, Dominic A. Paluzzi, Adam C. Smith; McDonald Hopkins LLC;
Legal Alert/Article
August 28, 2014, previously published on August 22, 2014
Data breaches have increased dramatically. In fact, according to a 2014 Internet security threat report published by Symantec, data breaches increased in 2013 by 62 percent. Therefore, it is not surprising that the Securities and Exchange (SEC) Commissioner, Luis A. Aguilar, recently addressed what...

 

HTMLFinCEN Customer Due Diligence Rule Proposal
Eric A. Arnold, Clifford E. Kirsch, Michael B. Koffler, Susan S. Krawczyk, Yasho Lahiri; Sutherland Asbill & Brennan LLP;
Legal Alert/Article
August 27, 2014, previously published on August 19, 2014
On July 30, 2014, the U.S. Treasury Department’s Financial Crimes Enforcement Network (“FinCEN”) issued proposed rules (the “Proposed Rules”) to clarify and strengthen customer due diligence requirements for banks, securities broker-dealers, mutual funds, and futures...

 

HTMLPresumption Against Extraterritoriality in Morrison v. National Australia Bank Extended to Private Party Whistleblower Retaliation Cases
Matthew Bisanz, Marcus Christian, Mark G. Hanchet, Alex C. Lakatos, Richard M. Rosenfeld; Mayer Brown LLP;
Legal Alert/Article
August 27, 2014, previously published on August 25, 2014
The US Court of Appeals for the Second Circuit has ruled that the presumption against extraterritoriality applies to private party actions under Section 21(h) of the Securities Exchange Act of 1934 (“Exchange Act”). The Second Circuit’s August 14, 2014 decision in Liu v. Siemens...

 

HTMLFlorida Legislature Relaxes Agency Licensing Requirements for Broker-Dealer Branch Offices Selling Insurance Products but Creates New Disclosure Requirements for Surrenders
Eric A. Arnold, Clifford E. Kirsch, Michael B. Koffler, Susan S. Krawczyk, Holly H. Smith; Sutherland Asbill & Brennan LLP;
Legal Alert/Article
August 27, 2014, previously published on August 25, 2014
Under current Florida insurance laws, branch offices of broker-dealers selling insurance products in Florida are required to either “license” or “register” as agency branches (in addition to satisfying insurance producer licensing requirements). However, Florida recently...

 

HTMLAlberta Insider Trading Cases
John Blair; Borden Ladner Gervais LLP;
Legal Alert/Article
August 27, 2014, previously published on August 20, 2014
The July 8 2014 acquittal of Rengam Rajaratnam in New York District Court ended a long streak of insider trading convictions in that jurisdiction. In Canada, such cases tend not to be brought in courts where the standard of proof is reasonable doubt, but before Securities Commission tribunals where...

 

HTMLSEC Announces Municipal Advisor Examination Initiative
Matthew Bobys, Kenneth A. Gross, Ki P. Hong, Melissa L. Miles, Patricia M. Zweibel; Skadden, Arps, Slate, Meagher & Flom LLP;
Legal Alert/Article
August 26, 2014, previously published on August 20, 2014
On August 19, 2014, the Securities and Exchange Commission (SEC) announced that its Office of Compliance Inspections and Examinations (OCIE) will begin a two-year examination initiative (the initiative) through the National Exam Program (NEP) aimed at municipal advisors that are newly registered...

 

HTMLTime to Leave: Supreme Court to Determine Securities Class Action Limitation Period
Elder C. Marques, Michael J.P. O'Brien; McCarthy Tétrault LLP;
Legal Alert/Article
August 25, 2014, previously published on August 13, 2014
The Supreme Court of Canada has granted leave to appeal in a case that will determine how to apply the statutory limitation period for investors in Ontario who decide to sue public issuers and their executives under the Securities Act. Given similar legislation in other provinces, the case will be...

 

HTMLSEC FCPA Settlement Sends Wake-Up Call to Small and Medium-Sized Businesses
Mayling C. Blanco, Ariel S. Glasner, Carlos F. Ortiz, Shawn M. Wright; Blank Rome LLP;
Legal Alert/Article
August 21, 2014, previously published on August 2014
On July 28, 2014, Smith & Wesson Holding Corp. (“Smith & Wesson”), the firearms manufacturer based in Springfield, Massachusetts, agreed to resolve charges brought by the Securities and Exchange Commission (“SEC”) for violations of the Foreign Corrupt Practices Act...

 

HTMLDefeating Class Certification: Halliburton II Ruling Impacts Securities Class Action Issues
Turner A. Broughton, Lauren M. Wheeling; Williams Mullen;
Legal Alert/Article
August 21, 2014, previously published on August 19, 2014
In its June 23, 2014 opinion in Halliburton Co. v. Erica P. John Fund, Inc. (“Halliburton II”), the United States Supreme Court addressed two securities class action issues:

 

HTMLLitigation for Profit in Australia—Court Imposes Limits Where Serious Conflicts of Interest Exist
John Emmerig, Michael Legg; Jones Day;
Legal Alert/Article
August 21, 2014, previously published on August 2014
In the last six to eight months, Australia has witnessed a spike in shareholder class action activity that appears to be driven, at least in part, by new lawyers and litigation funders entering the market.

 


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