Russian Mergers & Acquisitions Market - Challenges and Opportunities
Data Center Industry Investment- Trends and Opportunities
International Investment in the US – Interview with Bill Weld, Former Massachusetts Governor; Member, Mintz Levin; Principal, ML Strategies
The Transformation of the VC Business Model – Interview with Bill Whelan, Member, Mintz Levin
Stealth Lawyer: Eli Broverman, Financial Startup Co-Founder
Confirmations: Plugging Into Electronic Confirmations
Corporate Law Report: Workplace Romances, FMLA Changes, California Tax News, and More
Can Feds Force Companies to Disclose Political Spending?
California Commercial Real Estate Forecast - Allen Matkins/UCLA Anderson Winter 2013 Survey Reveals Dip in Developer Sentiment
California Commercial Real Estate Forecast - Allen Matkins/UCLA Anderson Survey Results Reveal Tension Between Developer Sentiment & Action
HFT Rules: Three Part HFT Harmony
Digital Health: Where is the Action for Entrepreneurs?
As we wrote about previously, in April the Department of Labor issued its highly anticipated, re-proposed regulation addressing the standard of care for broker-dealers and other financial professionals who provide retirement...more
In two recent cases, the Securities and Exchange Commission (the SEC) has made clear that it has increased its focus on private funds and their allocation of fees and expenses. In the most recent, the SEC entered an order on...more
Growth in the ETP industry has led the SEC to seek public comment on a variety of topics related to the listing and trading of ETP shares.
On June 12, the US Securities and Exchange Commission (SEC) issued a release (the...more
The SEC Office of Compliance Inspections and Examinations, or OCIE, has launched a multi-year Retirement-Targeted Industry Reviews and Examinations (ReTIRE) Initiative. OCIE is focusing on retirement-based savings in...more
Earlier this month, the Securities Industry and Financial Markets Association (“SIFMA”) released its “Proposed Best Interests of the Customer Standard for Broker-Dealers” – an alternative to the U.S. Department of Labor’s...more
The SEC has been thinking harder before waiving automatic disqualifications that the federal securities laws and regulations impose on so-called "bad actors."
Without such waivers, companies may be barred from, among...more
OCIE Announces 2015 Priorities -
The SEC’s Office of Compliance, Inspections and Examinations (OCIE) recently announced its selected list of 2015 examination priorities for investment advisers, broker-dealers, and...more
On 6 March 2015, the ASX published its Consultation Paper in relation to its proposed changes to Guidance Note 8 relating to continuous disclosure. ASX intends to make changes to its guidance relating to analyst and investor...more
The SEC recently rendered an opinion in an enforcement action against two persons, John P. Flannery and James D. Hopkins, associated with an investment adviser. In so doing, it sought to limit the Supreme Court’s holding in...more
On August 4, 2014, the SEC issued an Investor Alert citing 10 Red Flags that should give investors an indication that an unregistered offering may be a scam. If you are considering an investment in an unregistered offering...more
Hedge funds are a continuing focus for the SEC. This week the Commission filed an action against two fund managers and an adviser alleging that they fabricated performance reports furnished to investors. The Court granted a...more
The Investor as Purchaser Subcommittee (the “Subcommittee”) of the SEC’s Investor Advisory Committee (the “Committee”) issued two principal recommendations (the “Recommendations”) regarding SEC adoption of a uniform standard...more
Re: Possible SRO for Investment Advisers and Fiduciary Standard for Broker-Dealers — What Others Are Saying -
In the ongoing debate over whether a supervisory regulatory agency, other than the SEC, should be delegated...more
What if co-operation arrangements are not in place in time?
We expect that most will be. However, without a co-operation arrangement in place between all relevant regulatory authorities, the manager will need...more
The Bernie Madoff scandal exposed a lot of people and institutions. One of those, obviously, was the SEC, and it has been working hard to live that fiasco down ever since. But one aspect of the current securities enforcement...more
A hallmark of Florida's notoriously strict regulation of investment professions may soon be no more. Florida is one of only eight jurisdictions in the United States that require securities broker-dealers and investment...more
April 17 (Bloomberg) -- Eli Broverman, co-founder and chief operating officer of Betterment LLC, talks with Bloomberg Law's Spencer Mazyck about his transition from practicing law at Proskauer Rose LLP to creating a Web-based...more
The SEC’s Office of Compliance Inspections and Examinations reports finding widespread compliance deficiencies related to custody of securities. In its March 4, 2013 National Exam Program Risk Alert, OCIE said that...more
In its annual summary of regulatory and examination priorities, the Financial Industry Regulatory Authority (FINRA) signaled that it will aggressively pursue market misconduct. The January 11, 2013 report follows closely on...more
The North American Securities Administrators Association (NASAA) recently revealed its annual list of financial products and practices that pose the highest risks to investors. The list includes several new threats as well as...more
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