Topic: Broker-Dealer

JD Supra Corporate Brief: Dodd-Frank, Myanmar Exports, M&A Brokers, LinkedIn Announcements

On this day in 1803, the United States Supreme Court established the doctrine of judicial review when it ruled in Mabury v. Madison that Section 13 of the Judiciary Act of 1789 was unconstitutional. What do bank boards of directors need to know about Dodd-Frank? These five things… (Paul Reynolds at Dinsmore & Shohl) US… Read more »

SEC Tells M&A Brokers: No Registration Required

Late last month, the Securities and Exchange Commission gave M&A brokers a green light to facilitate mergers, acquisitions, and other business sales and combinations without first having registered as “broker-dealers.” Attorneys from Skadden Arps explain: “Prior to the No-Action Letter, although a person who had not registered as a broker-dealer could engage in activities in… Read more »

JD Supra Corporate Brief: China Antitrust, EPA Updates, Ethics Lessons, Japanese Mushrooms

Sign up for email delivery of the JD Supra Corporate Brief. It’s as easy as click, type, send… Here’s an excellent overview of antitrust and competition law enforcement in China last year… (Simon Baxter, Frederic Depoortere, David Foster, and Sharis Pozen at Skadden Arps) Three ways the EPA is celebrating the New Year… (Corporate Law… Read more »

JD Supra Corporate Brief: Cheaters’ High, Solar Power, Discriminatory Lending, Pipeline Projects

Have you signed up for email delivery of the JD Supra Corporate Brief yet? It’s as easy as click, type, send. The SEC just issued important clarification for broker-dealers on the “failure to supervise” liability of compliance and legal personnel… (Morrison & Foerster) Cheating gets you high – so what can ethics and compliance officers… Read more »

JD Supra Corporate Brief: Big Data, Broker-Dealers, Graphene Inventions, Arbitration Agreements

Go ahead, pour yourself another cup. It’s Friday after all, and the world can wait while you sip your coffee and read your JD Supra Corporate Brief: Big data creates big dangers for consumer privacy, says the FTC chair… (Ropes & Gray) Here’s one lawyer’s take on the evolution of white collar crime prosecution over… Read more »

JD Supra Corporate Law: China Princelings, Ethical Practices, FRAND Disputes, Venture Financings

Wednesdays get a raw deal: the spelling / pronunciation discord, the embarrassing “hump day” nickname, those orphaned mid-week holidays… But it’s not all bad – they also get their own JD Supra Corporate Brief: So what’s the big deal about hiring “princelings” in China, anyway? (Michael Volkov) As it turns out, a state insurance commissioner’s… Read more »

JD Supra Corporate Brief: Internal Controls, Broker Dealers, Unfair Competition, Conflict Minerals

Is it just us, or is it getting really hot in here? But don’t worry – the heat wave should break by before the weekend. Until then: stay cool, drink lots of liquids, and read the JD Supra Corporate Brief: M&A risks: all too often executives ignore ethics and compliance issues and focus mainly on… Read more »

Feds Take FCPA Fight to Wall Street

U.S. regulators just took the fight against bribery and corruption to a new arena: Wall Street. Attorneys John Goselin and Mauro Wolfe of Duane Morris explain: “On May 7, 2013, the U.S. Attorney’s Office for the Southern District of New York unsealed extraordinary criminal charges against two registered representatives of a U.S. broker-dealer and a… Read more »