News & Analysis as of

Fund Managers Securities Act of 1933

Keating Muething & Klekamp PLL

Ninth Circuit Warning: Silence in the Face of SEC Comment Letters May Bolster Section 12(a)(2) Claims

On June 10, 2025, the U.S. Court of Appeals for the Ninth Circuit reversed the dismissal of a securities class action after finding the plaintiff sufficiently alleged a real estate investment fund and its managing executive...more

Alston & Bird

SEC Updates the Definitions of “Accredited Investor” and “Qualified Institutional Buyer”

Alston & Bird on

Even in the financial market, words have meaning. Our Investment Management Team delves into how the Securities and Exchange Commission has expanded access to private markets – and the pool of potential investors – just by...more

Proskauer - Corporate Defense and Disputes

SEC’s Data-Driven Analysis Identifies Allegedly Improper Trade Allocations by Investment Advisor

Relying on a data-driven statistical analysis conducted by the Division of Economic and Risk Analysis (DERA), the SEC recently commenced administrative proceedings against an investment advisor, Welhouse & Associates, Inc.,...more

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