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The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges. ...more
There were several important developments impacting private investment funds in 2020. The SEC continued to prioritize this area of the capital markets, and it issued important rules and guidance impacting private funds and...more
Jay Clayton Appointed Chairman of the SEC; Increased Examinations of Investment Advisers - Mr. Clayton was confirmed by the Senate on May 2, 2017 and sworn in as Chairman of the SEC on May 4, 2017....more
Returning to an enforcement priority repeatedly articulated over the years, the SEC recently imposed sanctions on a registered investment advisory firm and two principals arising out of an alleged scheme to inflate the...more