Category Archives: Securities Law
Subscribe to Securities Law RSS FeedThe Trend of Increasing Disclosure Obligations for Private Funds Continues in 2022
Insider Trading, MNPI and Related Internal Controls: A Renewed Focus by SEC
ESG: Practical Points For Where Market Practice and Legal Trends Collide
Treating “Like for Like”: SPAC Disclosure, Marketing and Gatekeeping in 2022
SEC Proposes Advisers Act Reforms Focusing on Private Fund Investor Protections
Decentralized Finance: The Next Frontier of SEC Enforcement
Top Ten Regulatory and Litigation Risks for Private Funds in 2022
California District Court Upholds SEC’s Novel “Shadow Trading” Theory
Bloomberg Law: Growth of ESG-Related Investments & Regulatory Action
2021 SEC Enforcement Results – Takeaways for Fund Managers
SEC Chair Gensler Signals SEC Policies for Private Funds
SEC Is Exploring Reforms Regarding Private Fund Disclosure Of Conflicts Of Interest And Fees and Expenses
U.S. Federal Regulators Turn Up the Heat on Cryptocurrency Trading Platforms
MNPI Update – SEC Pursues “Shadow Trading” Insider Trading Case
Space SPAC Draws SEC Enforcement Action for Allegedly Misleading Disclosures and Due Diligence Failures
Three Key Considerations for Fund Sponsors when Participating in Bankruptcy Proceedings
SEC Increases Advisers Act Qualified Client Thresholds
Cryptocurrencies 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
