James Deeken

James Deeken

Akin Gump Strauss Hauer & Feld LLP

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SEC Rule 10b5-1 Amendments Provide New Perspective on Insider Purchases and Sales

The Securities and Exchange Commission adopted rules on December 14, 2022 that will require...more

12/21/2022  /  10b5-1 Plans , Cooling-Off Rule , Corporate Governance , Disclosure Requirements , Investment Management , Securities and Exchange Commission (SEC) , Securities Regulation

Cross Trades and Principal Transactions – New SEC Guidance for Private Fund Managers

On July 21, 2021, the Securities and Exchange Commission’s Division of Examinations issued a Risk Alert on cross trades and principal transactions.1 The Risk Alert’s guidance and warnings were based on over 20 examinations of...more

8/3/2021  /  Broker-Dealer , Disclosure Requirements , Investment Adviser , Investment Companies , Risk Alert , SEC Examination Priorities , Securities and Exchange Commission (SEC)
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