Hardly a day goes by without hearing horrible stories of a person having their identity stolen and their finances ruined as a result. The SEC is now stepping into this
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Some Things You Should Know About Compliance And Ethics
At a recent conference held by the SEC, a panel highlighted the importance of compliance and ethics for broker-dealers. The big takeaway from the conference was that a strong compliance
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Section 15(a) Registration And Foreign Transactions
A magistrate judge in the Northern District of Illinois recently ruled that Section 15(a) of the Exchange Act does not apply extraterritorially even if a foreign transaction was facilitated by
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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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