[authors: Michael G. Dana, Peter D. Fetzer, Terry D. Nelson]

Non-Enforcement Matters

  • SEC Approves New FINRA Rule on Private Placement Offerings
  • Private Fund Advisers Come Into Compliance With Dodd-Frank Requirements

Enforcement Matters

  • Investment Advisers Subject to Enforcement Actions for Impeding SEC Examinations
  • Hedge Fund Advisory Firm Among Those Charged With $276 Million Insider Trading Violations