Edward Pittman

Edward Pittman

Dechert LLP

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Latest Publications


SEC Announces Further Enforcement Actions in the Municipalities Continuing Disclosure Cooperation Initiative

The U.S. Securities and Exchange Commission (SEC or Commission) announced enforcement actions against 22 municipal underwriters on September 30, 2015, as part of its Municipalities Continuing Disclosure Cooperation Initiative...more

11/15/2015 - Disclosure Requirements Enforcement Actions MCDC MSRB Municipalities Rule 15c2-12 SEC

NYSE Outage – Fund Valuation and Operations Based on the NYSE Close

The New York Stock Exchange (NYSE or Exchange) was forced to suspend trading for almost four hours on July 8, 2015 to resolve a technical problem that resulted from a software upgrade. The Exchange resumed normal trading...more

7/23/2015 - Asset Valuations Fund Sponsors Investment Company Act of 1940 Investment Funds NYSE Trading Suspension

SEC Brings Settled Administrative Proceedings Against NYSE Relating to Informational Advantages, Electronic Trading and Other...

The Securities and Exchange Commission (SEC or Commission) on May 1, 2014 announced a settlement (Settlement) with the New York Stock Exchange LLC and certain of its affiliates (collectively, the NYSE), addressing a variety...more

6/6/2014 - Affiliates Civil Monetary Penalty Compliance Electronic Trading Enforcement Enforcement Actions High Frequency Trading Information Sharing Neither Admit Nor Deny Settlements NYSE SEC Settlement

Private Equity Newsletter - Autumn 2013 Edition: Recent Statements by SEC Staff Generate Controversy over Whether Advisers to...

On April 5, 2013, David W. Blass, Chief Counsel of the Securities and Exchange Commission’s (“SEC”) Division of Trading and Markets, warned an American Bar Association (“ABA”) committee that private equity funds should...more


Is the Pendulum Swinging? – SEC Commissioner Gallagher Expresses Concerns About Reliance on Proxy Advisors

The role of proxy advisors has continued to attract attention from U.S. regulators and on Capitol Hill. Earlier this month, Commissioner Daniel M. Gallagher of the Securities and Exchange Commission (“SEC”) generated...more

7/24/2013 - Daniel Gallagher No-Action Letters Proxy Advisors SEC SEC Commissioner

Investment Portals Addressed in SEC Staff Guidance Under JOBS Act; No-Action Letters Also Issued

Technology has spawned the formation of new internet-based marketplaces for illiquid and restricted securities. In most instances, these markets are operated by entities registered with the U.S. Securities and Exchange...more

5/15/2013 - AngelList Broker-Dealer Fundersclub.com Funding Portal Investors JOBS Act No-Action Letters SEC Securities Exchange Act

Recent SEC Actions Focus on Broker-Dealer Activity of Private Funds, Highlight Perils, and Generate Controversy

A recent public statement by a member of the senior staff (“Staff”) of the Securities and Exchange Commission (“SEC”) and recent SEC enforcement actions have reminded private equity and other private fund managers (such as...more

4/22/2013 - Broker-Dealer Finders Fund Managers Investment Adviser Marketing Private Funds Ranieri Partners Registration SEC Securities Exchange Act Transaction-Based Compensation

New U.S. Laws Criminalize Theft of Quantitative Trading and Investment Models and Other Trade Secrets and Dramatically Increase...

Introduction - The U.S. Congress recently passed two laws that raise the stakes dramatically for employees of financial services firms and anyone else who misappropriates trade secrets, including source code and other...more

2/6/2013 - Criminal Prosecution Damages Economic Espionage Act Injunctions Penalty Enhancements Theft of Trade Secrets Clarification Act Trade Secrets

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