SEC Approves Interpretive Guidance on Underwritersʼ Duties to Municipal Issuers
May 14, 2012 Client Alert

Doing Business Under FINRA’s New Suitability and KYC Rules
April 10, 2012 by Matthew C. Boba
published in Practical Compliance & Risk Management for the Securities Industry

President Signs JOBS Act: Eases Capital Raising Restrictions and IPO Hurdles for Smaller Companies and Private Funds
April 5, 2012 Client Alert

Spending the Last of Your Build America Bond Proceeds
March 28, 2012 Client Alert

Public Finance Tax Update
March 28, 2012 Client Alert

SEC Seeks Comment on MSRB Proposed Broker’s Broker Rules
March 23, 2012 Client Alert

CFTC Eliminates and Narrows Key Exemptions for Commodity Pool Operators and Commodity Trading Advisors
March 12, 2012 Client Alert

New FINRA Best Execution Rule Effective May 31, 2012
March 8, 2012 Client Alert

SEC and CFTC Propose Identity Theft Rules
March 8, 2012 Client Alert

FINRA Proposes Revised Debt Security Research Rule
March 5, 2012 Client Alert

SEC Adopts Revised Investment Adviser Performance Fee Requirements
February 21, 2012 Client Alert

Obama Administration Proposes BAB Reinstatement, Other Municipal Bond Changes
February 14, 2012 Client Alert

Carter v. Lehi: Utah Supreme Court's New Framework for Initiatives and Referendums
February 10, 2012 Client Alert

FATCA Proposed Regulations Released
February 10, 2012 Client Alert

Annual Investment Adviser Compliance and Regulatory Review
February 1, 2012 Client Alert

SEC to Seek Further Input on Broker-Dealer Fiduciary Duty Rule
January 30, 2012 Client Alert

MSRB Proposes Adding Inter-Dealer Yield Data to EMMA and Other Rule G-14 Changes
January 30, 2012 Client Alert

SEC Issues Guidance on Investment Adviser Registration Issues
January 30, 2012 Client Alert

FINRA: Complex Products Require Heightened Supervision—Focus on Structured Notes, Inverse/Leverage ETFs, Hedge Funds, Securitized Products, and Similar Products
January 27, 2012 Client Alert

SEC Approves New FINRA Best Execution and Interpositioning Rule
January 11, 2012 Client Alert

SEC Issues Guidance on Investment Adviser Use of Social Media
January 9, 2012 Client Alert

FINRA Revises Proposed Rules on Communications with the Public (Amendment No. 2)
January 9, 2012 Client Alert

Annual Continuing Disclosure Filing Deadline Approaching
January 6, 2012 Client Alert

Dodd-Frank: Impact on Asset Management
January 4, 2012

Uncertain Skies for Power Plants Across the US? EPA Issues Final Utility MACT Rule and Federal Appeals Court Stays the Cross-State Air Pollution Rule
January 4, 2012 Client Alert

SEC Adopts Revised Accredited Investor Definition
December 29, 2011 Client Alert

Public Finance Tax Update
December 22, 2011 Client Alert

Amendments to Civil Disclosure and Discovery Rules of the Utah Rules of Civil Procedure
December 16, 2011 Client Alert

Treasury Department to Propose Anti-Money Laundering Rules for Investment Advisers
December 13, 2011 Client Alert

FINRA and SEC Issue Guidance on Broker-Dealer Branch Office Inspections
December 13, 2011 Client Alert

MSRB Issues FAQs on Secondary Market Municipal Securities Obligations
December 5, 2011 Client Alert

MSRB Files Amendments to Proposed Guidance on Rule G-17, Makes Other Announcements
November 15, 2011 Client Alert

Be Careful Who Your Friends Are: New EPA Guidance Helps Clarify What Kinds of Contractual Relationships Can Disqualify a Property Owner from Liability Protection Under CERCLA
November 8, 2011 Client Alert

SEC Seeks Comment on Revised FINRA Private Placements Rule
November 4, 2011 Client Alert

SEC Seeks Comments on Proposed Rules Regarding Communications with the Public
November 4, 2011 Client Alert

SEC Seeks Comments on FINRA Best Execution and Interpositioning Proposal
October 28, 2011 Client Alert

FINRA Issues Advertising Regulation Guidance
October 28, 2011 Client Alert

Volcker Rule NPR and Asset-Backed Commercial Paper Conduits
October 26, 2011 Client Alert

New NEPA Rule May Mean Good News for Renewable Energy Projects
October 14, 2011 Client Alert

Controversial EPA Clean Water Act Guidance Could Become the Law of the Land
October 10, 2011 Client Alert

MSRB Revises Proposed Rules Governing Broker's Brokers
October 5, 2011 Client Alert

Dodd-Frank Regulatory Initiatives Impacting ABCP Conduits
September 30, 2011 Presentation

Controversy is in the Air: Congress Moves a Step Closer to Pushing Back Clean Air Act Rules Regulating Power Plants
September 30, 2011 Client Alert

The American Jobs Act and Its Impact on a National Infrastructure Bank
September 29, 2011 Client Alert

EPA Delays Proposal for GHG Emissions Performance Standards for New & Modified Power Plants
September 19, 2011 Client Alert

Recent Amendment to Chicago Vacant Building Ordinance Imposes Significant Obligations on Lenders
September 19, 2011 Client Alert

Public Finance Tax Update
September 16, 2011 Client Alert

Trademark Registrants: It’s Time to Block Registration of Your Marks in .xxx Domain Names
September 13, 2011 Client Alert

Maintaining Your Land Owner Liability Protection Under CERCLA: New ASTM Standard May Help Property Owners Meet “Continuing Obligations”
September 13, 2011 Client Alert

FINRA Issues Guidance on Social Networking Websites and Business Communications
September 9, 2011 Client Alert

SEC Issues Concept Release on Use of Derivatives by Investment Companies
September 9, 2011 Client Alert

What the Financial Industry Needs to Know About Patent Reform Legislation
September 9, 2011 Client Alert

President Obama Withdraws EPA Draft Ozone Standard Citing Regulatory Burdens on Local Government and Industry
September 7, 2011 Client Alert

MSRB Clarifies Regulatory Control over Municipal Advisors
August 31, 2011 Client Alert

Changes to the School Facility Occupation Tax Law
August 25, 2011 Client Alert

New Power of Attorney Law in Illinois
August 24, 2011 Client Alert

MSRB Proposals Regarding Advertising; Written Evidence of Municipal Advisor Relationships
August 17, 2011 Client Alert

IRS Updates Procedures and Educational Resources for the Tax Exempt Bond Voluntary Closing Agreement Program
August 12, 2011 Client Alert

Municipal Securities Rulemaking Board Recommends SEC Changes to Municipal Securities Disclosure Regulations and Guidance
August 10, 2011 Client Alert

Public Finance Bulletin: MSRB Issues Four Notices Affecting Underwriters and Financial Advisors
August 9, 2011 Client Alert

FINRA Proposes Adoption of New Rules Regarding Communications with the Public
August 2, 2011 Client Alert

SEC Issues Structured Products Exam Report
July 29, 2011 Client Alert

FATCA Withholding Delayed for Non-Financial Foreign Entities
July 25, 2011 Client Alert

FATCA Withholding Delayed (In Part)
July 20, 2011 Client Alert

The FFIEC's Supplement to Authentication in an Internet Banking Environment:
The New Minimum Legal Standard?
July 14, 2011 Client Alert

SEC Issues Final Order Adjusting Investment Adviser Performance Fee “Qualified Client” Test
July 13, 2011 Client Alert

SEC Adopts Final Dodd-Frank Investment Adviser Rules
June 29, 2011 Client Alert

Fiduciary Exception to Attorney-Client Privilege: Recent Development
June 28, 2011 Client Alert

MDABs and GO Zone Bonds: Tax-Exempt, Long-Term Financing Opportunities You May Be Missing
June 27, 2011 Action Item

SEC Adopts “Family Office” Definition for Purposes of Advisers Act Exclusion
June 24, 2011 Client Alert

CFTC Proposes Delay for Registration of Commodity Pool Operators and Trading Advisors Involved Only with “Swaps”
June 24, 2011 Client Alert

For 2011 and 2012: An Unprecedented Opportunity to Make Lifetime Gifts
June 23, 2011 Client Alert

CFTC and SEC Propose Steps to Address July 16 Effective Dates for Certain Dodd-Frank Title VII Provisions
June 20, 2011 Client Alert

Supreme Court Limits Primary Liability Under Rule 10b-5
June 17, 2011 Client Alert

SEC Proposes Amendments to Broker-Dealer Financial Reporting Rule
June 17, 2011 Client Alert

Public Finance Tax Update
June 17, 2011 Client Alert

Comment Period on Guidance Regarding Wetlands and Waterways Subject to Federal Jurisdiction to End July 1, 2011
June 16, 2011 Client Alert

Making a Difference
June 15, 2011 Annual Review

SEC Adopts Final Whistleblower Rules
June 13, 2011 Client Alert

SEC Approves Amendments to MSRB Rule G-23
June 10, 2011 National Public Finance Bulletin

New Proposals for a National Infrastructure Bank
June 6, 2011 Client Alert

IRS Office of Tax Exempt Bonds Offers Free Webinar on Form Filling and Compliance Issues for Direct Pay Bonds
June 2, 2011 Client Alert

Illinois Legislative Update and IRA Update
June 1, 2011 Client Alert

Enhancements to EMMA Allow Additional Voluntary Submissions by Issuers
May 28, 2011

SEC Proposes Rule to Disqualify "Bad Actors" from Certain Regulation D Offerings
May 27, 2011 Client Alert

SEC Approves FINRA Proposal to Simplify and Delay Portions of New Issue Allocation and Distribution Rule (FINRA Rule 5131)
May 27, 2011 Client Alert

International Applicants Can Benefit from New US Patent Office Program
May 25, 2011 Client Alert

IRS Initiates Compliance Check Questionnaire on Advance Refunding Bond Issues
May 25, 2011 Client Alert

FINRA Announces New Know-Your-Customer and Suitability Compliance Date and Interpretive Guidance
May 19, 2011 Client Alert

SEC and CFTC Propose Key Swap Definitions and Interpretive Guidance
May 19, 2011 Client Alert

SEC Seeks Comment on FINRA's Proposed Investment Company Rule Change
May 17, 2011 Client Alert

SEC Proposes to Adjust Investment Adviser Performance Fee Requirements
May 11, 2011 Client Alert

SEC Seeks Comment on Short Sale Reporting
May 5, 2011 Client Alert

FINRA Proposes to Amend and Delay Portions of New Issue Allocation and Distribution Rule
April 26, 2011 Client Alert

Recent Developments in Renewable Energy Regulation and Development
April 14, 2011 Client Alert

FINRA Proposes to Delay the Implementation of New Know-Your-Customer and Suitability Rules
April 13, 2011 Client Alert

SEC May Extend Certain Deadlines Relating to Dodd-Frank Act Investment Adviser Registration Changes
April 11, 2011 Client Alert

Dodd-Frank: Joint Rules on Risk Retention Proposed
April 5, 2011 Client Alert

SEC Proposes Incentive-Based Compensation Rules for Large Broker-Dealers and Investment Advisers
March 21, 2011 Client Alert

FINRA Proposes Debt Security Research Obligations
March 18, 2011 Client Alert

Delaware Court of Chancery Declines to Compel the Board of Directors of Airgas, Inc. to Redeem Its Poison Pill
March 17, 2011 Client Alert

CFTC Proposes Amendments to Reporting and Compliance Obligations of Investment Advisers to Private Funds, Commodity Pool Operators, and Commodity Trading Advisors
March 16, 2011 Client Alert

MSRB Draft Rules Governing the Conduct of Broker's Brokers
March 15, 2011 Client Alert

Public Finance Tax Update
March 15, 2011 Public Finance Tax Update

FINRA Proposes Rules Governing Markups, Markdowns, Commissions, and Fees
March 11, 2011 Client Alert

Marital Deduction Planning for 2011
March 8, 2011 Client Alert

MSRB Files with the SEC Amendments to Rule G-23 to Prohibit Financial Advisors from Underwriting and Remarketing, Comments Due by March 21, 2011
March 1, 2011 National Public Finance Bulletin

Attorneys Guide Council through Complicated Bond Issue to Garner $94 Million
March 0, 2011 Illinois Business Journal
Erin Bartholomy quoted.

Obama Administration Proposes BAB Reinstatement, Other Municipal Bond Changes
February 15, 2011 Client Alert

Comments due by February 22, 2011 on Proposed Municipal Advisor Registration Rules
February 9, 2011 National Public Finance Bulletin

Annual Investment Adviser Compliance and Regulatory Review
February 8, 2011 Client Alert

Dodd-Frank: Impact on ABCP Conduits
February 6, 2011 Presentation

SEC Dodd-Frank Rulemaking: Accredited Investor Definition
February 1, 2011 Client Alert

Tax-Related Patents Draw Government Attention
January 31, 2011 Client Alert

SEC Dodd-Frank Study: Investment Adviser Examinations and SROs
January 28, 2011 Client Alert

SEC Adopts Final Dodd-Frank Representation/Warranty Disclosure Rules
January 27, 2011 Client Alert

97th Illinois General Assembly Legislative Schedules
January 26, 2011 Client Alert

IRS Private Letter Ruling Concludes Income From Certain Swaps is Qualifying Income for RICs
January 25, 2011 Client Alert

US Commodity Futures Trading Commission Proposes Rule for End-User Exception to Mandatory Clearing of Swaps
January 24, 2011 Client Alert

FINRA Proposes Rule Amendments Regarding Private Placements
January 21, 2011 Client Alert

US Court of Appeals for Federal Circuit Rejects the 25 Percent Rule for Patent Damages
January 18, 2011 Client Alert

SEC Approves FINRA Know-Your-Customer and Suitability Rules
January 18, 2011 Client Alert