» House Financial Services Committee examines market data issues, conflicts of interest
28/06/17 14:11 from Jim Hamilton's World of Securities Regulation
By Lene Powell, J.D. In a hearing of the capital markets subcommittee of the House Financial Services Committee, lawmakers heard from securities exchanges, market makers, and brokerages in a broad exploration of equity market structure i...

» DMCA Safe Harbor Doesn’t Protect Zazzle’s Printing of Physical Items–Greg Young Publishing v. Zazzle
28/06/17 13:33 from Technology & Marketing Law Blog
The court summarizes the key facts: “GYPI alleges that Zazzle has publicly displayed 41 paintings by Westmoreland or Erickson on its website, and that Zazzle has created consumer products bearing these images.” GYPI lacked st...

» On final day, high court decides statute of repose issue, will hear whistleblower case
27/06/17 12:34 from Jim Hamilton's World of Securities Regulation
By Rodney F. Tonkovic, J.D. On the last day of the October Term 2016, the Supreme Court decided one case and granted certiorari in another. The Court held that Securities Act Section 13's three-year time limit is a statute of repose not ...

» Ill-Advised Copyright Lawsuit Over Facebook Live Video Becomes Costly For Plaintiff–Konangataa v. ABC
26/06/17 13:45 from Technology & Marketing Law Blog
You probably remember the story about a new dad’s Facebook Live broadcast of his baby’s birth. His video was covered by many media outlets, including some outlets that published snippets of the video (re the defendants in thi...

» White paper examines disclosure rollbacks, virtual currencies and other securities filings hot topics
26/06/17 12:00 from Jim Hamilton's World of Securities Regulation
The Trump Administration’s desire to deregulate the financial services industry has already resulted in the disapproval of the resource extraction issuers rule and a call for new SEC guidance on conflict minerals disclosure. Wolters Kluw...

» Section 230 Protects Google’s Decision Not To De-Index Content–Bennett v. Google
24/06/17 16:12 from Technology & Marketing Law Blog
Dawn J. Bennett was a financial advisor in major trouble with the SEC. She also has a sporting apparel company. She hired an SEO, Pierson, to improve the search engine indexing of her website. After a payment dispute, Pierson posted...

» IAC mulls capital formation, decline in number of IPOs
23/06/17 13:55 from Jim Hamilton's World of Securities Regulation
By Amy Leisinger, J.D. The SEC’s Investor Advisory Committee heard from panelists on current trends surrounding capital formation and smaller companies as well as the recent decrease in the total number of initial public offerings. Costs...

» Does the Packingham Ruling Presage Greater Government Control Over Search Results? Or Less? (Guest Blog Post)
22/06/17 14:24 from Technology & Marketing Law Blog
By guest blogger Heather Whitney [Heather is a Visiting Researcher at Harvard Law School (Spring 2017). She has also been Bigelow Fellow & Lecturer in Law at University of Chicago Law School (2014-2016) and a Googler (2007-2010). She...

» Staff grants relief to permit interim sub-advisory agreement to continue without shareholder approval
22/06/17 14:22 from Jim Hamilton's World of Securities Regulation
By Jacquelyn Lumb The Division of Investment Management advised that it would not recommend enforcement action against NWQ Investment Management Company, LLC if it continued to serve as an investment adviser to certain series of two Nuve...

» CFTC Inspector General says not enough cost-benefit analysis on uncleared swaps margin rule
21/06/17 15:27 from Jim Hamilton's World of Securities Regulation
By Lene Powell, J.D. The CFTC Inspector General (OIG) concluded that the CFTC did not analyze possible costs and benefits in enough detail in considering a 2015 rule establishing margin requirements for uncleared swaps. Among other defic...