Searching Content indexed under Corporate/Commercial Law by Maurine Bartlett ordered by Published Date Descending.
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Commission Interpretation – Standard Of Conduct For Investment Advisers
The Securities and Exchange Commission (the "SEC") on June 5, 2019 released an interpretation of the standard of conduct required by the Investment Advisers Act of 1940 (the "Advisers Act") of investment advisers as fiduciaries to their clients.
United States
11 Jul 2019
The Trump Administration: Change By Appointment
Many experts are engaged in educated speculation about the regulatory priorities of the now-forming Trump Administration.
United States
23 Nov 2016
SEC Adopts Significant Amendments To Private Placement Rules: JOBS Act Rules Eliminate Ban On General Solicitation And Dodd-Frank Mandate Disqualifies Bad Actors
On July 10, 2013, the U.S. Securities and Exchange Commission adopted rule changes that will permit "general solicitation and general advertising" in "private" securities offerings.
United States
15 Aug 2013
SEC Issues No-Action Letter Addressing Registration Requirements For Certain Advisory Affiliates
The staff of the Securities and Exchange Commission (the "Commission") issued a no-action letter on January 18, 2012 to the American Bar Association’s Subcommittee on Hedge Funds clarifying the registration requirements for certain related entities under the Investment Advisers Act of 1940, as amended (the "Advisers Act").
United States
17 Feb 2012
SEC Seeks Public Comment On Treatment Of Asset-Backed Issuers
The Securities and Exchange Commission (the "SEC") recently issued an advance notice of proposed rulemaking (the "ANPR")1 requesting public comment on the treatment of asset-backed issuers2 under Rule 3a-7 under the Investment Company Act of 1940 (the "Investment Company Act").
United States
20 Sep 2011
Private Equity Investments In Troubled Banks
There has been increasing pressure on banks to increase their equity capital levels (and decrease their leverage ratio) in response to losses caused by declines in asset values.
United States
27 Oct 2009
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