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4 weeks ago | 
jdsupra.com | Christopher Kelly |Rachel J. Lamorte |Gail F. Levine
THE UPSHOT, FOR BUSY PEOPLE: On March 18, 2025, Commissioner Rebecca Kelly Slaughter and Commissioner Alvaro Bedoya, who hold the two Democratic seats on the Federal Trade Commission (“FTC”) were informed that President Donald Trump was removing them from the FTC. Both commissioners are contesting the dismissals. For more than a month, the five-member FTC has been one Republican commissioner short, leaving Chairman Andrew Ferguson without a majority.
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4 weeks ago | 
inquirer.com | Christopher Kelly
One of the first pieces of legislation Sen. Dave McCormick has introduced focuses on stopping fentanyl distribution. Perhaps this topic is not surprising given that Pennsylvanians — and Philadelphians, in particular — have been hit hard by the opioid crisis.
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1 month ago | 
csglaw.com | Christopher Kelly
Securities Industry and Financial Markets Association: The Rising Tide of Cybersecurity Enforcement and ThreatsOn March 24, from 10:05 – 11:05 am, Christopher J. Kelly, Chair of the CSG Law Securities Enforcement Group, will serve as a moderator at the 2025 Securities Industry and Financial Markets Association (SIFMA) C&L Annual Seminar in Austin, Texas.
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1 month ago | 
csglaw.com | Lisa M. Colone |Christopher Kelly
Oyster Consulting: Inside FINRA Enforcement – What Firms Need to KnowOn February 28, Lisa M. Colone and Christopher J.
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1 month ago | 
pinecountynews.com | Christopher Kelly
As the tax filing deadline approaches, being prepared can save you time, money and stress. David Horn, the director of the Master of Business Taxation Program at the University of Minnesota’s Carlson School of Management, shares his insights on what to keep in mind this tax season. Q: Are there any significant changes this year? Horn: One thing is constant: the deadline to file your tax return is April 15. However, you may file an automatic extension to file your return six months after April 15.
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Jan 22, 2025 | 
csglaw.com | Lisa M. Colone |Christopher Kelly
CSG Law Alert: An Unofficial Guide to FINRA’s 2024 Enforcement StatisticsIn 2024, FINRA Enforcement settled by Letter of Acceptance, Waiver, and Consent (AWC) approximately 523 disciplinary actions. Of those, roughly 70 percent were filed against individual respondents and 30 percent against firms.1 This alert will focus on the AWCs filed against firms.
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Jan 16, 2025 | 
csglaw.com | Christopher Kelly
Practising Law Institute: Fundamentals of Broker-Dealer Regulation 2025On January 22, at 9:00 am, Christopher J. Kelly, Chair of the CSG Law Securities Enforcement Group, will serve as a speaker at the Practising Law Institute (PLI)’s, “Fundamentals of Broker-Dealer Regulation 2025” program.
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Jan 7, 2025 | 
csglaw.com | Lisa M. Colone |Christopher Kelly
CSG Law Alert: Does a Recent Settlement Signal a Change in FINRA’s Approach to Restitution? Between January 1, 2021 and December 1, 2024, FINRA ordered restitution in 146 settlements. In 145 of the 146 settlements, FINRA ordered the respondents to pay a specific dollar amount—often down to the penny—to specified harmed investors. In a recent settlement, however, FINRA took a markedly different approach.
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Dec 3, 2024 | 
csglaw.com | Lisa M. Colone |Christopher Kelly
CSG Law Alert: Is a Significant Threat to FINRA’s Authority Lurking in the Text of the Alpine Decision? On November 22, the D.C. Circuit issued its highly anticipated decision in Alpine v. FINRA.1 Although the Court enjoined FINRA from unilaterally expelling Alpine following an expedited proceeding, one could imagine FINRA’s leadership thinking, “it could have been worse.” Indeed, it could have been worse for FINRA.
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Nov 21, 2024 | 
jdsupra.com | Stephen Carlton |Nels Hansen |Christopher Kelly
As the global race to net zero gathers pace, so does investment in the technologies and services—collectively known as cleantech—needed to support that driveFirst coined in the early 2000s, following a surge in venture capital interest, the term “cleantech” refers to technologies and related business models that aid the global energy transition. By improving performance and lowering costs, they can serve a double benefit: improving investor returns while reducing negative ecological impact.
