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Searching Content indexed under Corporate/Commercial Law by Christopher Wells ordered by Published Date Descending.
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Broker-Dealer And Investment Adviser Standards Of Conduct - SEC Adopts Rules And Interpretations
On June 5, 2019, the Securities and Exchange Commission voted to adopt a package of rulemakings and interpretations, including (i) a new rule creating a standard of conduct for broker-dealers when recommending securities to retail investors (Regulation Best Interest),...
United States
24 Jun 2019
2
Practical Guide To The Regulation Of Hedge Fund Trading Activities
The trading activities of hedge funds raise a number of complex issues under the federal securities laws. Proskauer's Practical Guide to the Regulation of Hedge Fund Trading Activities ...
United States
2 Jul 2018
3
Five Things To Think About Before A Surprise SEC Exam
If it is a cause examination, they may be trying to determine whether client assets are at risk.
United States
27 Dec 2017
4
U.S. House Bill Aims To Curtail SEC Staff's Ability To Obtain Algorithmic Trading Source Code
This would prevent the SEC staff from obtaining source code through OCIE exam requests or during the early stages of an investigation before the staff has obtained authority to issue subpoenas.
United States
6 Nov 2017
5
SEC Flags The Top Six Advertising Rule Deficiencies For Investment Advisers
The SEC staff recently published an alert highlighting the most common deficiencies seen in investment advisers' marketing materials.
United States
28 Sep 2017
6
SEC Issues Risk Alert On The Most Frequent Advertising Rule Compliance Issues And Use Of Accolades In Advertisements
On September 14, 2017, the staff of the SEC's OCIE issued a National Examination Program Risk Alert on the most frequent advertising rule compliance issues identified in OCIE examinations...
United States
27 Sep 2017
7
Private Fund Advisers Must Pay Close Attention To Nuances Under Pay-To-Play Restrictions In Light Of Upcoming Elections Nationwide
As the elections approach nationwide, advisers to private investment funds with current or prospective state or local government entity investors should be mindful of political activities by their personnel.
United States
19 Aug 2016
8
SEC Announces Settlement With Adviser Found To Have Acted As An Unregistered Broker And Engaged In Conflicted Transactions
On June 1, 2016, the SEC announced a settlement with Blackstreet Capital Management, LLC and Murry N. Gunty, Blackstreet's managing member and principal owner.
United States
8 Jun 2016
9
SEC Proposes Higher Net Worth Threshold For Qualified Clients Under The Advisers Act
On Wednesday, May 18, 2016, the U.S. Securities and Exchange Commission (SEC) proposed to increase the net worth threshold for qualified clients from $2 million to $2.1 million.
United States
24 May 2016
10
Pay-To-Play Rule: SEC Announces Compliance Date For Ban On Third-Party Solicitation Of Government Entities
The SEC must find, by order, that such FINRA and MSRB rules impose substantially equivalent or more stringent restrictions than the Pay-to-Play Rule and are consistent with its objectives.
United States
20 Jul 2015
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