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Securities and Exchange Commission (SEC) › Regulatory Requirements › Market Volatility

Proskauer Rose LLP

New Tariffs, Old Issues: Post-Liberation Day Advisers Act Considerations for Private Fund Managers

Proskauer Rose LLP on

Markets remain exceptionally volatile following the announcement of the U.S. “Liberation Day” tariffs and retaliatory measures from other countries. While the ultimate path of policy remains uncertain, recent developments are...more

Morrison & Foerster LLP

SEC Continues Enforcement Actions Relating to Complex Exchange-Traded Products - Structured Thoughts

Morrison & Foerster LLP on

On November 13, 2020, the SEC announced that it had settled actions against several investment advisory firms and firms dually-registered as broker-dealers and investment advisers. These actions relate to unsuitable sales of...more

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