We wanted to introduce you to the new Fox Rothschild Human Resources blog started by our partner, Francis Cook. njhumanresources.foxrothschild.com. We hope you enjoy it!! Continue Reading New Fox Rothschild Human Resources Blog
Regulation D
Unshocking Non-Development! SEC Will Miss Deadline on Rules 506 & 144A Changes
By Fox Rothschild LLP on
In a move that surprised absolutely no one, SEC chairwoman Mary Schapiro stated in testimony before a House Subcommittee that the SEC would not make the July 4th deadline set by Congress…
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SEC WARNING ON UNAUTHORIZED TRADING
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The SEC issued an alert intending that firms detect and prevent unauthorized trading in brokerage and advisory accounts.
This release related to certain risks the SEC’s Office of Compliance Inspections…
SEC AND CFTC LAUNCH AN ANTI MONEY LAUNDERING GROUP
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The SEC and CFTC launched a working group to discuss and identify money laundering vulnerabilities.
These issues have lingered for awhile. Both agencies believe that there is an opportunity to…
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No More Felons and Other Bad Guys in Regulation D Offerings
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Recently, the SEC announced that it would take steps to bar felons and bad actors from any Regulation D offering.
This rule was mandated by the Dodd-Frank Act, and the…
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SEC COOPERATION. . . IT SEEMS TO PAY
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In late February, a judge from the United States District Court for the Southern District of New York approved a settlement where a former executive and analyst cooperated with the…
Condo Rental Programs Are Not Investment Contracts
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In an intriguing case out of the United States District Court for the Western District of Missouri, a plaintiff’s purchase of condominium units with an option to participate in the…
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Aiding and Abetting Claims Brought by the SEC
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The SEC has indicated that it will continue to review potential aiding and abetting claims in light of the Janus Capital Group Inc. v. First Derivative Trader’s decision.
That decision…
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CAYMAN ISLANDS FUND REGISTRATION REQUIREMENTS
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The Cayman Islands will amend a 2011 law to clarify that master funds will now have to register if they have even one Cayman regulated feeder fund. This registration will…
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Attorney Fee Requests Prorated
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Recently, the United States District Court for the Eastern District of Washington attacked the attorney’s fees and expenses filed by plaintiff’s attorneys in a securities fraud suit.
The judge was…