Searching Content indexed under Corporate/Commercial Law by Stroock & Stroock & Lavan LLP ordered by Published Date Descending.
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SEC Proposes Offering Reforms For Business Development Cos. And Registered Closed-End Funds
On March 20, 2019, the Securities and Exchange Commission voted to propose rule amendments to implement certain provisions.
United States
5 Apr 2019
Some Trusts Are Welcome, Others Less So
For many years, co-op and condo boards have been averse to allowing the purchase or transfer of apartments through trusts. Under these financial arrangements the trustor (or grantor) gives the trustee
United States
27 Feb 2019
The Many Moving Parts Of A Foreclosure
IN LOUIS ZAZZARINO vs. 13-21 East 22nd Street Residence Corp., a shareholder defaulted on a loan made by her bank. The bank held a non-judicial auction of the shares, as was its right ...
United States
5 Feb 2019
Screening The Use Of Screening Software For OFAC Sanctions Compliance
On November 27, the Treasury Department's Office of Foreign Assets Control ("OFAC") announced a settlement agreement with a Virginia-based global technology ...
United States
14 Dec 2018
After The Lender Case — Securities Law Restrictions That Apply To Family Offices Managing Other People's Money
As we discussed in our prior Stroock Special Bulletin (our "Prior Bulletin"),[1] Lender Management, LLC v. Commissioner of Internal Revenue, T.C. Memo. 2017-246 (2017) provides family offices...
United States
12 Nov 2018
SEC Adopts Amendments To Regulation S-K To Simplify And Update Disclosure Requirements
On August 17, 2018, the Securities and Exchange Commission (the "SEC") issued a release (the "Adopting Release") describing the adoption of amendments to Regulation S-K ...
United States
12 Nov 2018
INSIGHT: SEC's Voya Order Underscores Importance Of Cybersecurity
The Securities and Exchange Commission (SEC) recently issued an order imposing a $1 million penalty and remedial sanctions against Voya Financial Advisors, Inc.
United States
30 Oct 2018
Out With The Old -- In With The New: DOD Replaces Its 1985 Guidance On NISP
Change is nearly continuous for the National Industrial Security Program. On August 1, the Department of Defense ("DoD") issued DoD Manual 5220.22, Volume 2,
United States
9 Oct 2018
CFIUS Reform Flies, But With Clipped Wings
The House of Representatives has approved the Foreign Investment Risk Review Modernization Act of 2018, which significantly expands the scope of the Committee on Foreign Investment in the United States.
United States
3 Aug 2018
Securities And Tax Classifications Of Cryptocurrency Relating To ICOs
Bitcoin's recent rise to fame and the growing role played by virtual currencies (i.e., "cryptocurrencies") and distributed ledger technology (e.g., the Blockchain) in a variety of areas...
United States
31 Jul 2018
Florida Adopts The In Re Trulia Standard For Disclosure-Based M&A Transaction Settlement
Florida's Second District Court of Appeal announced on July 13, 2018 the adoption of the review standard formulated in the Delaware Chancery Court ...
United States
24 Jul 2018
In Re Franchise Services Of North America, Inc.: The Fifth Circuit Explores Restrictions On Bankruptcy Filing
In its recent ruling in In re Franchise Services of North America, Inc., the United States Court of Appeals for the Fifth Circuit held that an investor ...
United States
24 Jul 2018
"Proposed Revisions To The Volcker Rule's Implementing Rules – Select Proposals And Open Questions"
On May 30, 2018, the Board of Governors of the Federal Reserve System, together with the Commodity Futures Trading Commission, the Federal Deposit Insurance Corporation ...
United States
16 Jul 2018
"The Lender Case: Potential Avenue For Family Offices To Obtain Trade Or Business Expense Deductions For Rendering Investment Management Services"
If the name "Lender" sounds familiar, there is a good reason for it. The family patriarch, Harry Lender, founded "Lender's Bagels," which was the font of the family's wealth.
United States
19 Jun 2018
SEC Identifies Top 6 Investment Advisory Fee And Expense Compliance Issues For Investment Advisers
On April 12, 2018, the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) issued a Risk Alert highlighting the most frequent advisory fee...
United States
24 Apr 2018
Going International – A Primer For The Global Economy In Ten Questions
The global economy has created an increasingly challenging phenomenon of cross-border enforcement. By way of recent example, how does Brazil fine U.S.-based Facebook $33 million ...
United States
23 Apr 2018
Altered States
What must a co-op or condo board do to modify its policies for a disabled occupant? And whose obligation is it to propose a "reasonable" accommodation? These were issues discussed in the case Steinberg-Fisher v. North Shore Towers Apartments, Inc.
United States
3 Jan 2018
SEC Proposes Amendments To Regulation S-K To Simplify And Modernize Disclosure Requirements
This Stroock Special Bulletin provides an overview of select proposed amendments.
United States
24 Oct 2017
OCIE Issues Risk Alert Highlighting The Most Frequent Advertising Rule Compliance Issues
On September 14, 2017, the OCIE issued a Risk Alert highlighting compliance issues relating to Rule 206(4)-1 under the Investment Advisers Act of 1940, as amended, which the OCIE staff most frequently identified ...
United States
3 Oct 2017
A Change Of Mind
What happens if a co-op board approves construction in or outside of an apartment – and then changes its mind?
United States
30 Aug 2017
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