Business and Securities Law Forum

The newsletter of the ISBA’s Section on Business and Securities Law

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2003 Articles

Advising corporate clients presented with HIPAA compliance documents: Is your non-health care client a Business Associate? By A. Jay Goldstein & Jocelyn F. Cornbleet September 2003 On April 2003, the "Privacy Rule" promulgated pursuant to the Health Insurance Portability and Accountability Act of 1996 ("HIPAA") went into effect
Case comments By J. Matthew Pfeiffer & Lessa J. Bauer September 2003 Whether a creditor may pierce the veil of a subsidiary corporation in a separate civil action to hold its parent liable for an unpaid judgment debt based on the subsidiary's failure to follow the standards expected of a corporation to be treated as such an entity.
Case comments By J. Matthew Pfeiffer June 2003 Whether corporate officers who conduct purported corporate business during a period when the corporation has been dissolved might not be absolved of personal liability during that period of dissolution, even if those officers were unaware of the dissolution.
From the editor By David E. Doyle April 2003 This edition of the newsletter has several interesting articles, including an update on this year's changes to the Illinois Securities Law from David Finnigan and Cheryl Goss Weiss, both of whom are senior counsel with the Illinois Department of Securities.
The name game: Preventing trademark infringement against newly formed businesses By A. Jay Goldstein & Christina M. Berish March 2003 One, two, even 10 years after forming a new business, it is not unheard of for a company to receive a demand to discontinue the use of their name.
New technology raises a new question: What is the definition of a broker-dealer? By Ana M. Mencini March 2003 One of the goals of the Securities and Exchange Commission (Commission) is to ensure that the Commission meets the challenge of keeping up with technology and its impact on the marketplace.
SEC adopts new rules on auditor independence pursuant to the Sarbanes-Oxley Act By Robert J. Wild June 2003 The Securities and Exchange Commission (SEC) has adopted new rules governing the relationship between audit firms and their audit clients under which certain non-audit services are prohibited, conflict of interest standards and audit partner rotation requirements are strengthened, and the relationship between the independent auditor and the audit committee is clarified and enhanced.
Security futures: The “state of the union” By Randy Tuurie March 2003 The objective of this article is to trace the recent history of security futures and examine the current regulatory scheme that governs them, focusing particularly on the role of the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC).
Use document technology to comply with Sarbanes-Oxley: A practice tip By John Ellsworth September 2003 Mission-critical document management considerations such as Sarbanes-Oxley have firms searching for risk remediation solutions