Searching Content indexed under Securities by Thompson Coburn LLP ordered by Published Date Descending.
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SEC Denies Applications For ETFs: Will Traditional Wall Street Banks Step In?
In August, the Securities and Exchange Commission (SEC) rejected nine separate applications to list Bitcoin exchange-traded funds (ETFs).
United States
28 Sep 2018
Top 5 Warning Signs For Cannabis Investors
The U.S. Securities and Exchange Commission has issued an alert to retail investors in the cannabis industry following a number of recent enforcement actions.
United States
13 Sep 2018
Lucia V. SEC: With Janus And Wayfair, A Herald Of Further Challenges To Administrative Enforcement And Rulemaking?
June 21, 2018, may turn out to be a landmark day in the annals of the effort to dismantle the administrative state. On that date, the U.S. Supreme Court handed down its decisions in Lucia v. SEC[1] ...
United States
17 Aug 2018
New Rules On The Block: SEC Targets Executive Compensation
On July 1, 2015, the Securities and Exchange Commission, by a 3-2 vote, proposed new rules requiring public companies to "claw back" executive compensation mistakenly awarded due to accounting errors.
United States
26 Jan 2016
Investing In Cannabis? Industry Presents Unique Considerations
The cannabis industry is estimated to generate $3 billion in revenue this year, with annual sales projected to increase to $8 billion by 2018.
United States
10 Nov 2015
Crowdfunding For Real Estate - Buyer Beware
It's easy to understand the desire to find investment assets that will provide a higher yield in today's low-rate environment and the desire to raise capital to fund real estate projects.
United States
2 Sep 2015
SEC Proposed Rules On CEO Pay Ratios: What Employee Benefits Professionals Need To Know
On Sept. 18, 2013, the Securities Exchange Commission ("SEC") issued long-awaited (and controversial) proposed rules regarding the disclosure of what is commonly referred to as the "CEO pay ratio."
United States
21 Jan 2014
10 Implications Of SEC's Repeal Of General Solicitation Rules
The Securities and Exchange Commission recently adopted final rules allowing general solicitation and general advertising in private placements so long as a number of requirements are met.
United States
5 Aug 2013
Boston-Area Hospital To Pay $1.5 Million To Settle HIPAA Violations Over Security Breach
On September 17, 2012, Massachusetts Eye and Ear Infirmary, a Boston area hospital, has agreed to pay $1.5 million to the U.S. Department of Health and Human Services to settle allegations of violations of the HIPAA Security Rule.
United States
25 Sep 2012
End Of Operating Leases? Watch For Lease Accounting Changes
The Financial Accounting Standards Board ("FASB") and the International Accounting Standards Board ("IASB") are proposing dramatic changes to lease accounting rules that would virtually eliminate operating lease accounting treatment.
United States
30 Mar 2012
Restructuring Commercial Real Estate Loans
As 2011 begins, many have seen signs of the beginning of the gradual recovery of commercial real estate markets.
United States
3 Feb 2011
Dodd-Frank Act Summary on Mortgage Lending Regulatory Changes - Second in Series
The Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act" or the "Act") has been called the most significant overhaul of our nation’s financial system since the Great Depression.
United States
5 Oct 2010
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