Stephen Meli

Foley & Lardner LLP

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Foley Governance and Regulatory Alert: Determining Existence of Material Non-Public Information

On October 15, 2020, the Securities and Exchange Commission (“Commission” or “SEC”) announced settled charges against Andeavor LLC for internal accounting controls violations relating to a stock buyback plan it implemented...more

10/21/2020 / Material Nonpublic Information , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Transactions , Shareholders

SEC Finds Collective Investment Trust to Violate 1940 Act

A September 30, 2020 enforcement action brought by the SEC pivoted on a failure to effectively exercise “substantial investment authority”. Day to day investment advisory services were provided by an affiliated RIA of the...more

10/8/2020 / Collective Investment Schemes , Securities and Exchange Commission (SEC) , Securities Exchange Act , Trusts

Foley Governance and Regulatory Alert: SEC Proposes Conditional Exemption for Finders Assisting Small Businesses with Capital...

On October 7, 2020, the Securities and Exchange Commission (“SEC” or “Commission”) voted to propose a new limited, conditional exemption from the broker registration requirements of Section 15(a) of the Securities Exchange...more

10/8/2020 / Capital Raising , Corporate Issuers , Federal Register , Finders , Investors , Securities and Exchange Commission (SEC) , Securities Exchange Act , Small Business

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