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Troutman Pepper Locke

FINRA Continues to Scrutinize Customer Facing Communications on Crypto Offerings

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On July 16, TradeStation Securities, Inc., a member firm of the Financial Industry Regulatory Authority (FINRA), submitted a Letter of Acceptance, Waiver, and Consent (AWC) to FINRA’s Department of Enforcement. This AWC...more

Ropes & Gray LLP

Finding Alpha in Consumer

Ropes & Gray LLP on

As we move through 2025, the phrase “finding alpha” has become the mantra for private equity (PE) investors focused on the consumer sector. Confidence in the sector remains robust, but the narrative has shifted: it is no...more

Troutman Pepper Locke

SEC Adopts New Advisers Act Rules for Private Fund Advisers

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On August 23, the Securities and Exchange Commission (SEC) adopted new rules (Adopting Release) for private fund advisers under the Investment Advisers Act of 1940, as amended (Advisers Act). The new rules require private...more

Fenwick & West LLP

Pump-and-Dumpers Take Their Lumps: Influencer Liability Catches the Eye of Federal Regulators

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Influencers and their large and impressionable followings have become a valuable marketing tool for brands big and small. However, brands and influencers alike should proceed with caution as regulators continue to scrutinize...more

Cadwalader, Wickersham & Taft LLP

August Changes to Fund Distribution in the EEA

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This week sees the introduction of significant changes to the rules and regulations governing the marketing of alternative investment funds (“AIFs”) to investors in the Member States of the European Economic Area (the “EEA”)...more

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