In This Issue:
- SEC Staff Releases Analysis Related to Pay Ratio Disclosure Rules
- States Challenge Blue Sky Preemption Under Regulation A+
- FINRA Proposes Revised BrokerCheck Hyperlink Rule
-...more
6/8/2015
/ Blue Sky Laws ,
BrokerCheck ,
Capital Markets ,
CFTC ,
Clawbacks ,
Disclosure Requirements ,
EU ,
European Commission ,
Executive Compensation ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Hedge Funds ,
Investment Adviser ,
National Futures Association ,
NFA ,
Preemption ,
Public Comment ,
Regulation A ,
Securities and Exchange Commission (SEC) ,
Total Shareholder Return (TSR)
A registered investment adviser and its principal recently sued the Securities and Exchange Commission for declaratory and injunctive relief to stave off an imminent administrative enforcement action, alleging that the tenure...more
The Securities and Exchange Commission recently announced a settlement with an investment adviser based on alleged fraud in a real estate investment offering....more
In this issue:
- Delaware Court of Chancery Rules That a Major Debt Holder and 48 Percent Stockholder Is a Controlling Stockholder and Owes Fiduciary Duties to Minority Stockholders
- Delaware Court of Chancery...more
6/23/2014
/ Compliance ,
Controlling Stockholders ,
Cross-Border ,
Debt ,
Debtors ,
Disclosure Requirements ,
Fiduciary Duty ,
Financial Industry Regulatory Authority (FINRA) ,
Fraud ,
Futures Commission Merchants (FCMs) ,
Investment Adviser ,
Minority Shareholders ,
Real Estate Market ,
Securities and Exchange Commission (SEC) ,
Shareholder Litigation ,
Shareholders ,
Swaps
A three-judge panel of the US Court of Appeals for the Fourth Circuit recently affirmed the dismissal of a lawyer’s habeas petition, finding that Janus Capital Group Inc. v. First Derivative Traders, a US Supreme Court case...more
The US District Court for the Southern District of New York granted the Securities and Exchange Commission summary judgment on its one outstanding securities fraud claim against Alberto Vilar and Gary Tanaka, co-founders of...more
In this issue:
- SEC Division of Corporation Finance Issues Guidance on Rule 506(c) Private Placements
- SEC Issues No-action Relief Regarding Registration of M&A Brokers
- CFTC Issues Guidance on New...more
2/11/2014
/ Alternative Investment Funds ,
Bank Fraud ,
Banks ,
Brokers ,
CFTC ,
Due Diligence ,
Exemptions ,
Filing Requirements ,
Fraud ,
Investment Adviser ,
Investment Funds ,
No-Action Relief ,
Private Placements ,
Registration ,
Rule 506 Offerings ,
Securities and Exchange Commission (SEC) ,
Swap Dealers ,
Swaps
The Securities and Exchange Commission recently charged a North Carolina-based investment adviser and its former owner with making false statements about the firm’s ability to engage in algorithmic currency trading....more