Publications Sep 28, 2016 Pennsylvania Court Rules That Multiple Malpractice Claims Are A Single “Claim” For Purposes of Policy Limits Sep 28, 2016 Illinois Court Narrowly Construes Professional Services Exclusion, But Upholds Insurer’s Coverage Denial On Late Notice Grounds Sep 28, 2016 Colorado Court Rules That Insurer Owes No Coverage or Defense for SEC Investigation Sep 28, 2016 Nebraska Supreme Court Rules That Liability Policy Does Not Cover Faulty Workmanship Where Only Damage Is To Insured’s Work Product Sep 28, 2016 Excess Judgment Is Not Prerequisite to Excess Insurer’s Equitable Subrogation Claim Against Primary Insurer, Says California Appellate Court Sep 28, 2016 Third Circuit Addresses Minimum Amount in Controversy Requirement for Insurer’s Declaratory Judgment Action Sep 26, 2016 Federal Reserve Seeks More Limits on Physical Commodity Activities of Financial Holding Companies Sep 20, 2016 Regulating FinTech: OCC Signals New Regulatory Framework for Fintech Firms Sep 15, 2016 D.C. Circuit: Rejecting a Constitutional Challenge to the SEC’s In-House Courts, the D.C. Circuit Holds SEC Administrative Law Judges Are Not “Officers of the United States” Subject to the Appointments Clause Sep 15, 2016 Third Circuit: Speaker’s State of Mind Is Irrelevant for Purposes of the PSLRA’s Safe Harbor Provided the Forward-Looking Statement Is Accompanied by Meaningful Cautionary Statements Sep 15, 2016 Seventh Circuit: Court Applies the Delaware Chancery Court’s Trulia Decision and Rejects a Disclosure-Only Settlement Sep 15, 2016 Ninth Circuit: (1) Rule 13a-14 Provides the SEC with a Cause of Action Against Executives Who Certify False or Misleading Statements, and (2) SOX 304’s Disgorgement Provisions Require Only Issuer Misconduct, Not Personal Misconduct by the CEO or CFO Sep 15, 2016 Tenth Circuit: SEC Claims for Disgorgement and Injunctive Relief Are Not Subject to Section 2462’s Five-Year Limitations Period Sep 09, 2016 Federal Reserve Recommends Legislative Repeal of Merchant Banking Authority and Exemptions for ILCs and Grandfathered Thrifts Sep 07, 2016 AXA Wins Section 36(b) Trial; Takeaways Include Potential Improvements for Your Section 15(c) Process Sep 07, 2016 SEC Proposes Rule Requiring Investment Advisers to Prepare a Business Continuity and Transition Plan; Issues Guidance Update Reflecting Similar Expectations for Registered Funds Sep 07, 2016 SEC Questions Auditor Independence Under Loan Rule; Quickly Issues Temporary Relief Sep 07, 2016 SEC’s Proposed Rule on Incentive-Based Compensation Arrangements Draws Criticism From the Fund Industry Sep 07, 2016 Registered Funds Alert, September 2016 Sep 07, 2016 Notable Transactions: Q2 2016 ...121122123124125126127128129130...