Category Archives: Securities Law
Subscribe to Securities Law RSS FeedCryptocurrencies and Other Digital Assets: A New Regime
Second Circuit Upholds Insider Trading Conviction, Finding Sufficient Confidentiality Duty and Personal Benefit
Increased Regulatory Scrutiny of Private Funds
Top Ten Regulatory and Litigation Risks for Private Funds in 2021
Three Critical Questions That Will (Hopefully) be Answered by the SEC’s Lawsuit against Ripple

An Overview of OFAC’s Ongoing Guidance: Chinese Military Companies Trading Ban
SEC Enforcement’s 2020 Annual Report Reflects Shifting Priorities for Fund Managers: Four Key Takeaways
SEC Announces 2020 National Compliance Outreach Seminar for Investment Companies and Investment Advisers
Asserting Reliance on Compliance Consultants as a Defense: Admissibility and Effectiveness
SEC Expands the “Accredited Investor” and “QIB” Definitions and the Permitted Scope of “Testing the Waters”
Five Principles For Accurate and Reliable Portfolio Company Valuations
Poison Pills In the Wake of COVID-19: A Refresher on Terms and Variations of Shareholder Rights Plans
ESG-Focused Fund Strategies Face SEC Scrutiny on Disclosures and Internal Procedures
Private Equity Adviser Settles with SEC for Misallocation of Internal Expenses Relating to “Third-Party Tasks”
SEC Cracks Down on Retirement Fund Advisers’ Undisclosed Compensation and Conflicts
SEC Releases Risk Alert Identifying Common Private Equity and Hedge Fund Compliance Deficiencies
Privacy in the Time of Pandemic: COVID-19 Provides Opportunity to Revisit Regulation S-P Privacy Policies
Misuse of Private Fund Assets Leads to SEC Enforcement and Industry Bar for Fund Manager
Who Foots the Bill? SEC Cracks Down on Operating Partner Reimbursement Disclosures
SEC Targets Fund Auditor in Latest Battle Over Valuation Practices
Coronavirus Disruption: Regulatory and Litigation Risks for Private Fund Managers
When is a Cross Trade a Principal Trade? SEC Brings Enforcement Action Against a Fund Manager That Appears not to Have Understood
