Bob Boresta


SEC Issues Rule Proposals to Implement Dodd-Frank for Investment Advisers

On Nov. 19, 2010, the Securities and Exchange Commission issued two separate releases under the Investment Advisers Act of 1940 to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The first…more
 /  Finance & Banking, Securities Law

SEC Proposes Whistleblower Program

On November 3rd, the Securities and Exchange Commission published proposed Regulation 21F, establishing a program designed to reward individuals who provide the SEC with information leading to successful enforcement actions. The…more
 /  Labor & Employment Law, Finance & Banking

Update on New FINRA Rules and Rule Proposals for Public

The Financial Industry Regulatory Authority has been active in proposing new rules and providing interpretative guidance affecting FINRA-member firms in the distribution of initial public offerings, which will impact…more
 /  Finance & Banking

Reminder of Annual Requirements for Investment Managers

As we begin the new year, we thought it would be helpful to remind our clients that manage separate accounts or privately offered hedge funds and private equity funds of certain obligations that may be applicable to them under…more
 /  Finance & Banking
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