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Hedge Funds Investment Adviser Commodities

Fox Rothschild LLP

Updated 2023– Who Does What: Broker Dealers | Registered Investment Advisers | Commodities/Futures Entities

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I. Starting a Broker-Dealer- Becoming an owner of a broker-dealer (BD) is a time-consuming and expensive endeavor. Although the United States Securities and Exchange Commission (SEC) requires BD registration pursuant to the...more

BakerHostetler

2017 Mid-Year Securities Litigation and Enforcement Highlights

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Welcome to the 2017 Mid-Year Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team. The purpose of this report is to provide a periodic survey – in addition to our Practice Team...more

BakerHostetler

2016 Year-End Securities Litigation and Enforcement Highlights

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Welcome to the 2016 Year-End Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team. The purpose of this Report is to provide a periodic survey, apart from our team Executive...more

Goodwin

Commerce Department Survey of Financial Services Transactions with Foreign Persons Due November 1, 2015

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The Commerce Department’s BE-180 Survey of Financial Services Transactions is a mandatory benchmark survey conducted every five years and administered by the Bureau of Economic Analysis (the “BEA”). Reports are required by...more

BakerHostetler

2015 Mid-Year Securities Litigation and Enforcement Highlights

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Welcome to the 2015 Mid-Year Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team. The purpose is to provide a periodic survey, apart from our team Executive Alerts, on matters we...more

BakerHostetler

2014 Mid-Year Report Securities Litigation and Regulatory Enforcement

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Welcome to the 2014 Mid-Year Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team. Its purpose is to provide a periodic survey, apart from our team Executive Alerts, on matters we...more

BakerHostetler

2013 Mid-Year Securities Litigation and Enforcement Highlights

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Table of Contents - I. Supreme Court Case Review (October 2012 Term) II. Rule 10b-5 Cases III. Investment Adviser and Hedge Fund Cases IV. Settlements V. Commodities and Futures Litigation and...more

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