This week, the CFTC approved a NFA Interpretative Notice that prohibits a Member from accepting credit card payments from customers to fund retail forex accounts. The NFA recently reviewed how
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Fox’s Gerry Norton Quoted on Big U.S. Supreme Court BioTech Case
The head of Fox Rothschild’s IP practice and our partner, Gerry Norton, was recently quoted by NJBiz on the U.S. Supreme Court’s Myriad Genetics Inc. case. See http://www.njbiz.com/article/20130416/NJBIZ01/130419842/Genetics-case-has-huge-implications-for-NJ-biotech-industry. Gerry’s
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Investors, Entrepreneurs and Business Leaders: Save the Date for Fox’s Own, Michael Harrington, at IMPACT 2013 Venture Summit!
Fox Rothschild is proud to be the host sponsor of IMPACT 2013 Venture Summit – the most established venture summit in the Northeast. This year’s conference will be held October
Who Wants To Know One Of The Greatest Risks To Your Practice
No matter what you do to protect yourself, there are risks all around. Over the years that I have defended brokers, I have found that one of the greatest liability
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Who Wants To Learn About How To Avoid Being Sued
In the years that I have been defending brokers from customer complaints, I have learned that there are a number of things brokers can do to avoid customer complaints. For
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What You Need To Know About Disclosures Through Social Media
In recognition of the pervasive use of social media, the SEC recently issued guidance that public companies could disseminate material information through social media without violating Regulation FD. The question remains
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So You Thought You Wanted To Be A Securities Lawyer
Lawyers have often been the brunt of cruel jokes. But now, a recent study reported on by the Bureau of National Affairs shows, lawyers are the target of securities regulators.
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Why Should You Care About FINRA’s Proposed Amendment To Rule 8313
FINRA recently proposed amending Rule 8313 regarding the public release of disciplinary complaints and decisions. For anyone conscious through the financial crisis commencing in 2008, this proposal should come as no
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THE SEC AND CFTC WORKING TOGETHER
Over the last several years, Congress and industry insiders have discussed whether it is time to merge the SEC and CFTC. After some high-profile regulatory lapses by both agencies, Congressional
You May Be Better Off Telling the SEC Before Making Corporate Announcements
The SEC is actively encouraging companies to contact the SEC before making a public announcement.
The SEC has indicated that it has its Staff reviewing Form 8-K disclosures. These reviews
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