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Employee Benefits Investment Funds Securities Regulation

Carlton Fields

Everyday Investor Participation in Private Strategies: What Role for Investor Advocate in SEC Drama?

Carlton Fields on

The SEC is under pressure to increase direct or indirect participation by everyday “retail” investors (consisting primarily of those who do not qualify as “accredited investors” under SEC Regulation D) in certain investment...more

BCLP

SEC Staff Updates Rule 10b5-1 Interpretations

BCLP on

The SEC staff recently published updates to its interpretations (CDIs) for Rule 10b5-1 – the insider trading exemption for pre-established trading plans....more

Carlton Fields

Expect Focus - Volume II, May 2025

Carlton Fields on

Builder of Investment Models Deviates From Blueprints Employee’s Rogue Remodeling Costs Builder Plenty - The SEC’s recent order instituting administrative and cease-and-desist proceedings (OIP) against registered...more

A&O Shearman

ESG Investing Takes A Blow In Texas Federal Court

A&O Shearman on

On January 10, 2025, Judge Reed O’Connor of the United States District Court for the Northern District of Texas ruled, following a four-day bench trial, that an airline breached ERISA fiduciary duties when investing...more

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