Podcast - Trends Affecting the Grocer and Retail Space
Videocast: Asset management regulation in 2020 videocast series – SEC’s OCIE exam priorities
States Sue SEC in Ongoing Fight Over Reg BI
SEC Activity with Fixed Income and Credit Funds
Our Investment Funds Team discusses Securities and Exchange Commission Chair Paul Atkins’s plans to improve retail investors’ access to private funds....more
The Securities and Exchange Commission (SEC) has not hesitated to conclude that crypto assets are securities subject to the Securities Act of 1933, but with BlockFi, the SEC went a step further and, for the first time with...more
Securities and Exchange Commission Chair Jay Clayton gave opening remarks in connection with the Investor Advisory Committee meeting. The Committee’s meeting agenda includes a discussion of whether and how investors use...more
Several firms, including Investment Company Institute, BlackRock, Fidelity and Franklin, commented to the SEC concept where retail investors could gain greater exposure to growth-stage private companies through pooled...more
The end of July saw continued regulatory activity in the digital assets space. This entry of BitBlog will cover some of the highlights. 1) The U.S. Securities and Exchange Commission (“SEC”) continues to dole out bits of...more
On June 18, 2019, the SEC issued a concept release requesting comments on, among other things, whether to liberalize the definition of “Accredited Investor” under Regulation D to cover a broader group of investors, including...more
The SEC’s Office of Compliance Inspections and Examinations (OCIE) released its examination priorities for 2019 in order to promote the transparency of its investigation program....more