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|Preparation for 2016 Fiscal Year-End SEC Filings and 2017 Annual Shareholder Meetings|
Megan N. Gates, Pamela B. Greene; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
February 21, 2017, previously published on January 24, 2017As our clients and friends know, each year Mintz Levin provides an analysis of the regulatory developments that impact public companies as they prepare for their fiscal year-end filings with the Securities and Exchange Commission (the “SEC”) and their annual shareholder meetings. This...
|Get Ready for Out of Court Bond Restructurings: Cliffs and the Reversal of Marblegate|
Claudia B. Dubón, Adam H. Friedman, Jonathan T. Koevary, Mitchell Raab; Olshan Frome Wolosky LLP;
February 20, 2017, previously published on January 23, 2017In its long-awaited January 17 decision,  the United States Court of Appeals for the Second Circuit provided greater certainty to debt holders and companies navigating restructuring of debt outside of bankruptcy court by overturning the district court’s decision in Marblegate Asset Mgmt.,...
|The Tenth Circuit Rules SEC Administrative Judges Are Unconstitutional, Setting Up Potential Supreme Court Review|
Jodi L. Avergun, Douglas H. Fischer, Kendra (Clayton) Wharton; Cadwalader, Wickersham & Taft LLP;
February 20, 2017, previously published on January 11, 2017The constitutionality of the SEC’s in-house administrative proceedings is in doubt following the 10th Circuit Court of Appeals’ ruling in Bandimere v. SEC.1 In Bandimere, a three-judge panel held, by a 2-1 decision, that SEC administrative law judges (“ALJs”) are inferior...
|Potential Pitfalls and Regulatory Aspects of FinTech M&A|
Daniel Serota, Alex Shoaff; Greenberg Traurig, LLP;
February 20, 2017, previously published on January 19, 2017The term “FinTech”-or financial technology-refers to a number of different types of services. From digital currency to mobile payments and money transfer services, the term encapsulates a variety of online payment services. FinTech also reaches into the financing sector, as both...
|2016 Year in Review: Securities Litigation and Regulation|
Nathan Bull, Alejandra Contreras, Jason M. Halper, Hyungjoo Han, Adam Magid, Jared Stanisci; Cadwalader, Wickersham & Taft LLP;
February 15, 2017, previously published on January 13, 20172016 was an active year in securities litigation. In the first half of 2016 alone, plaintiffs filed 119 new federal class action securities cases.1 It was also a busy year for SEC enforcement proceedings, with a record 868 cases filed, 548 of which were independent enforcement actions (as opposed...
|2017 SEC Exam Priorities for Securities Industry Registrants|
Richard M. Cutshall, Christopher P. McHugh; Greenberg Traurig, LLP;
February 6, 2017, previously published on January 18, 2017The Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) released its annual list of examination priorities for 2017 on Jan. 12, 2017. The examination priorities were previously summarized in the Greenberg Traurig Financial Services Observer.
|SEC Fines 10 Investment Advisers for Pay-to-Play Violations|
Bryson B. Morgan, Trevor Potter, Matthew T. Sanderson; Caplin & Drysdale, Chartered;
February 3, 2017, previously published on January 27, 2017The Securities and Exchange Commission announced last week its broadest and most significant action to enforce its investment adviser pay-to-play rule, Rule 206(4)-5, by fining 10 investment advisory firms. The fines come less than a week after the SEC promised increased attention to rules...
|Alberta Investor Tax Credit Opens for Business|
Steven Bodi, Brad J. Pierce, Colin Poon, Michael Saliken; Borden Ladner Gervais LLP;
February 2, 2017, previously published on January 16, 2017On December 15, 2016, the Government of Alberta ("Government") released guidelines providing details of the Alberta Investor Tax Credit ("AITC") program created under the Investing in a Diversified Alberta Economy Act (the "Act"). The Act came into force January 1,...
|FINRA's 2017 Annual Regulatory and Examination Priorities|
William B. Mack, Terry R. Weiss; Greenberg Traurig, LLP;
February 1, 2017, previously published on January 12, 2017On Jan. 4, 2017, FINRA released its 12th annual Regulatory and Examination Priorities Letter in which it identifies its areas of examination focus for 2017, recurring challenges faced by firms, and possible risks impacting the financial sector. FINRA’s 2017 exam priorities do not appear to be...
|The Supreme Court Agrees to Determine Whether SEC Actions Seeking Disgorgement are Subject to the Five-Year Limitations Period Set Forth in 28 U.S.C. § 2462|
Donald S. Davidson, Robert A. Horowitz, Jason S. Lewis; Greenberg Traurig, LLP;
February 1, 2017, previously published on January 18, 2017At the urging of both an individual petitioner and the SEC, the Supreme Court has agreed to resolve a recent circuit split as to whether the five-year limitations period applicable to SEC enforcement actions applies to the remedy of disgorgement. Kokesh v. SEC, --- S. Ct. ---, No. 16-529, 2017 WL...