In this issue:

- SEC Division of Corporation Finance Issues Guidance on Rule 506(c) Private Placements

- SEC Issues No-action Relief Regarding Registration of M&A Brokers

- CFTC Issues Guidance on New Filing Requirements

- SEC Extends Exemptions for Security-based Swaps

- SEC Issues Risk Alert on Investment Advisers’ Due Diligence Processes for Selecting Alternative Investments

- District Court Upholds SEC’s Partial Win in Bank Fraud Suit

- SDNY Grants SEC’s Final Summary Judgment Claim in Securities and Investment Advisor Fraud Case

- Excerpt from SDNY Grants SEC’s Final Summary Judgment Claim in Securities and Investment Advisor Fraud Case:

The US District Court for the Southern District of New York granted the Securities and Exchange Commission summary judgment on its one outstanding securities fraud claim against Alberto Vilar and Gary Tanaka, co-founders of Amerindo Investment Advisors, Inc., after the US Court of Appeals for the Second Circuit clarified the meaning of a “domestic transaction in any security.”

Please see full newsletter below for more information.

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Written by:

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SEC

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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