Author: Jaime

SEC and FINRA Publish Materials Addressing Cybersecurity

SEC and FINRA Publish Materials Addressing Cybersecurity Twin reports give a roadmap to guidelines. U.S. markets and participants, similar to other segments from the U.S. economy, are prime targets for technological hacks, intrusions, and breaches that may exist in today’s tech-laden business atmosphere. When confronted with these threats, on Feb 3, the U.S. Registration (SEC) […]

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April Fool’s – Not

April Fool’s – Not On April 1st, the Bureau issued updated exam procedures on the new TILA and RESPA rules.  They cover TILA RESPA Integrated Disclosures (applicable for exams after the August 2015 effective date), Higher-Priced Mortgage Loan Appraisals, Escrow Accounts, and Mortgage Servicing Requirements.  For more information on the new rules and their implementation, […]

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July 2015 IPO Market Review

July 2015 IPO Market Review The IPO market produced 15 IPOs in July with gross proceeds of $2.74 billion. July’s tally brings the total number of IPOs over the first seven months of 2015 to 106, the fourth highest total for the first seven months of the year since 2000. Gross proceeds over the first […]

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Delaware Data Destruction Law Highlights the Necessity of Data Destruction Plans

Delaware Data Destruction Law Highlights the Necessity of Data Destruction Plans The list of states requiring the disposal or destruction of personal data is growing, and companies need to respond accordingly by adopting data destruction plans. Delaware recently became the latest in a series of states to enact legislation addressing the safe destruction of records […]

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NNCO Announces Availability Of QEEN Workshop Report

NNCO Announces Availability Of QEEN Workshop Report On March 28, 2016, the National Nanotechnology Coordination Office (NNCO) announced the release of a report entitled Quantifying Exposure to Engineered Nanomaterials (QEEN) from Manufactured Products: Addressing Environmental, Health, and Safety Implications.  The report summarizes the July 7-8, 2015, QEEN workshop, which was sponsored by the Consumer Product […]

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Labor & Employment E-Note – June 2016

Labor & Employment E-Note – June 2016 The scope of the federal Defend Trade Secrets Act enacted on May 11, 2016 extends well beyond employment issues. However, its impact on an employer’s asset protection and enforcement program is quite significant. Please see full E-Note below for more information.  Download PDF What The New Federal Trade […]

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Internal Investigations — Assessing Witness Credibility

Internal Investigations — Assessing Witness Credibility As experienced investigators know, an investigation into allegations of harassment, discrimination or other misconduct may lead to a so-called “he said/she said” scenario, possibly leaving the investigator in a quandary as to the investigation’s outcome. This situation may indeed lead to a determination that the allegations are unsubstantiated. However, […]

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Primer on Global and IP5 Patent Prosecution Highway Pilot Programs

Primer on Global and IP5 Patent Prosecution Highway Pilot Programs Following the implementation of its first Patent Prosecution Highway (PPH) program with the Japan Patent Office (JPO) in 2006, the U.S. Patent and Trademark Office proceeded to establish PPH programs with nearly thirty other patent offices over the next seven years.  The PPH enables applicants […]

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CFTC Extends No-Action Relief to SEFs and DCMs from Certain CFTC Regulations for Correction of Errors

CFTC Extends No-Action Relief to SEFs and DCMs from Certain CFTC Regulations for Correction of Errors The U.S. Commodity Futures Trading Commission (CFTC) extended the relief contained in CFTC Letter No. 15-24 that allowed swap execution facilities and designated contract markets to correct certain errors that would lead to a swap being rejected and considered […]

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