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click to watch Webcast: Hot Topics Compliance Private Fund Advisers Annual Review
Webcast: Hot Topics Compliance Private Fund Advisers Annual Review
On December 23, 2013, the Securities and Exchange Commission (SEC) approved proposed changes to the Financial Industry Regulatory Authority’s (FINRA) supervision rules.  On March 19, 2014, FINRA issued Regulatory Notice 14-10, announcing that the consolidated supervision rules (the Consolidated Supervision Rules) approved by the SEC will become effective on December 1, 2014.1 The Consolidated Supervision Rules will replace existing NASD2 Rules 3010 and 3012 (the NASD Supervision Rules) in the FINRA Consolidated Rulebook with FINRA Rule 3110 (Supervision) and FINRA Rule 3120 (Supervisory Control ... more

Features
Legal Alerts
Legal Alert: European Commission Requests Comments on Treatment of Foreign Exchange Instruments Under EMIR April 24, 2014
On February 14, 2014, the European Securities and Markets Authority (ESMA) requested that the European Commission (EC) clarify the definition of “derivative” or “derivative contract,” and ...
Articles
New York Budget Legislation April 18, 2014
On March 31, 2014, New York State Governor Andrew Cuomo signed into law the 2014-2015 New York State Budget (Budget), which results in the most significant overhaul of New York’s franchise tax in ...
Blogs
Tohoku Electric Power to Purchase Cameron LNG Supplies at Henry Hub Linked Prices April 24, 2014
Reuters reports that Japan's Tohoku Electric Power Company has signed an agreement with a Mitsubishi affiliate to purchase 300,000 tonnes of LNG per year over a 16-year period from the proposed ...
In the News
FINRA Sees Uptick in Arbitration Cases Filed in First Quarter April 22, 2014
Bryan Ward is quoted in an InvestmentNews story discussing the increase in FINRA arbitration cases this year. The number of FINRA arbitration cases so far in 2014 is on pace to exceed the total ...
Press Releases
Sutherland and the Washington Lawyers’ Committee for Civil Rights and Urban Affairs File Class Action Against General Services Administration on Behalf of Blind Federal Contractors and the American Council of the Blind April 22, 2014
WASHINGTON – The Washington Lawyers’ Committee for Civil Rights and Urban Affairs and Sutherland Asbill & Brennan LLP announced today that they have filed a class action on behalf of blind federal ...

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click to watch Commitment to Excellence
Commitment to Excellence
Mark D. Wasserman, Managing Partner
Atlanta, GA
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