Executive suites in public companies across America took notice in recent weeks when federal prosecutors filed the first ever case based exclusively on an executive’s sale of company shares pursuant to what is commonly...more
On Wednesday, February 15, 2023, the U.S. Securities and Exchange Commission (SEC) released proposed amendments to Section 206(4)-2 of the Investment Advisers Act of 1940, which sets out the custody requirements applicable to...more
The Securities and Exchange Commission (SEC) recently issued a strong warning to corporate insiders against trading based on nonpublic information related to COVID-19. This cautionary statement comes after public reports of...more
The Securities Exchange Act of 1934 (Exchange Act) is the principal law that regulates broker-dealers in the United States. The Exchange Act governs transactions in securities markets and regulates persons who effect such...more