1,814 results found

In an article entitled “Update the Rules for Private-Equity Stakes” published in the American Banker on Friday, August 29, 2008, Thomas P. Vartanian and Robert H. Ledig suggested that the banking agencies should work together to develop a way to provide a banking charter to investors to allow them to bid for failing banks being marketed by the Federal Deposit Insurance Corporation (“FDIC”).

This update summarizes recent developments from the Federal Deposit Insurance Corporation (FDIC) and the Office of the Comptroller of the Currency (OCC) regarding private capital investments in failed depository institutions.

As a reminder, investment advisers who are subject to any state registration, renewal or notice filing fees must have funded their IARD accounts by December 11, 2023 in order to cover such fees...

On March 2, 2005, the Securities and Exchange Commission (SEC) further extended the compliance dates for non-accelerated filers and foreign private issuers.

In a selective market, the most successful exits are the ones with clear preparation, starting at the initial investment, to build a credible value creation story.

The age of electronic platforms for structured notes is upon us.

In connection with the SEC’s massive overhaul of executive compensation disclosure, the SEC also amended the Form 8-K filing requirements for current reporting of compensatory arrangements with management and directors.

The Investor Advocate Report also included a report on the newly developed research initiative POSITIER (Policy Oriented Stakeholder and Investor Testing for Innovative and Effective Regulation).

On January 20, 2004, the European Union Council of Ministers approved Council Regulation No. 139/2004 EC Merger Regulation (ECMR), a new merger law that became effective on May 1, 2004, concerning the control of concentrations between undertakings. This new regulation, which replaced Regulation 4064/89, increases the powers of the commission to review and block transactions that have a European Community scope. It also introduces more flexibility to the notification review process.

On June 18, 2007, in a 7-1 decision, the U.S. Supreme Court in Credit Suisse Securities (USA) LLC v. Billing, U.S., No. 05-1157 127 S.Ct. 2383, 2007 U.S. LEXIS 7724 (Jun. 18, 2007) held that securities laws implicitly preclude the application of antitrust law to investment bank underwriters of initial public offerings of securities because they face active regulation by the U.S. Securities and Exchange Commission.

During the last five years, businesses in America have experienced an explosion in the availability of capital for corporate and real estate debt and equity financing and investment. As non-traditional lenders have amassed capital for investment in corporate and commercial real estate debt instruments, and as clever lawyers and investment bankers have created ever-more complex methods for packaging pools of debt and spreading risk, competition in the lending marketplace has driven pricing to rec

Recently, the US Securities and Exchange Commission ("SEC") adopted amendments to the definition of accredited investor ("AI") and amendments to the definition of Qualified Institutional Buyer.

Palo Alto – January 22, 2021 – Cooley advised Sapphire Ventures on its lead investment in Dremio's $135 million

On May 5, 2023, the Securities and Exchange Commission ("SEC") filed charges against Pinnacle Advisors LLC ("Pinnacle Advisers"), an investment adviser, for allegedly aiding and abetting violations of Rule 22e-4...

On November 25, 2024, the U.S. Department of Justice (DOJ) and the U.S. Securities and Exchange Commission (SEC, and collectively with DOJ, the Government) brought parallel criminal and civil enforcement.

On December 20, 2007, the Department of Labor ("DOL") released Field Assistance Bulletin No. 2006-03 (the "FAB") containing guidance for its staff, as well as plan sponsors and administrators, relating to certain notice requirements enacted under the Pension Protection Act of 2006 ("PPA").

Judge Joshua D. Wolson of the U.S. District Court for the Eastern District of Pennsylvania recently dismissed a Lanham Act suit that challenged critical comments on a blog (not this one!).

New regulations issued by the Department of Labor under ERISA Section 408(b)(2) require certain disclosures by investment managers to their ERISA clients of the fees and other compensation paid to the investment manager for services provided to such clients.