Mark Barnes

SEC stays on mission, resists pressure to water down whistleblower protections

Most of the comments on the Securities and Exchange Commission proposed rulemaking mandated by the Dodd-Frank Act's whistleblower provisions provided by the members of the bar representing public companies opposed the right of a…more
| Securities Law

Indiana Advisers to Private Funds - State Law Registration Requirements

The private investment fund community (venture capital funds, private equity funds, hedge funds, etc.) is buzzing about the change wrought by Dodd-Frank that will require many advisers to private funds to register with the SEC…more
| Securities Law

Investment advisers face compliance deadline for new plain English brochure requirements

Clients of investment advisers will now receive more (and more readable) information in the form of an an expanded disclosure document about their adviser and its business practices. On July 28, 2010, the United States…more
| Securities Law
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