Blue Sky Laws: Defending State-Level Securities Violations
This Memorandum is intended to remind you of certain U.S. annual requirements that may be applicable to your business and is divided into five sections. All investment advisers (whether or not registered with the Securities...more
Kansas claims the pride of place in with its enactment in 1911 of the country's first general securities law. Kan. L. 1911, ch. 133. Kansas Bank Commissioner J.N. Dolley, the author of that law, is also given credit for the...more
The SEC brought a record number of enforcement actions against investment advisers in 2015, resulting in approximately $4.2 billion in sanctions.1 This alert highlights current issues for private equity, venture capital and...more