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Recent SEC guidance to registered advisers to private investment funds

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • July 18 2014

The SEC's Division of Investment Management recently released an IM Guidance Update to address two issues under the SEC's "Custody Rule," Rule

SEC brings first whistleblower retaliation action against hedge fund manager

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • June 19 2014

On Monday of this week, the SEC charged hedge fund manager Paradigm Capital Management of Albany, New York with making improper principal trades and

Adoption of a Rule 10b5-1 Plan to disclose or not to disclose, part 3

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • May 29 2014

The two preceding posts in this series (1) began to address the question whether a CEO's adoption of a Rule 10b5-1 trading Plan should be publicly

Adoption of a Rule 10b5-1 plan to disclose or not to disclose, part 2

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • May 21 2014

The preceding post in this series began to address the question whether a CEO's adoption of a Rule 10b5-1 trading Plan should be publicly disclosed

Adoption of a Rule 10b5-1 plan to disclose or not to disclose, part 1

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • May 13 2014

The CEO of a publicly held company determines to enter into a personal Rule 10b5-1 trading plan ("Plan"). Among other questions that arise in this

Shareholder internal insider-trading policies

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • April 22 2014

Certain organizations that hold or invest in publicly traded securities may gain material nonpublic information regarding an issuer of those

Designating officers for Exchange Act purposes

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • April 1 2014

Annual "housekeeping" activities of public companies at this time of year include, or should include, designating "officers" for purposes of filing

Limited availability of Rule 144 for resales by shareholders of former shell companies

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • March 14 2014

Persons seriously considering, on an informed basis, going public through a reverse merger with a public shell company likely understand that the

Reporting companies’ conflict-minerals obligations will continue

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • March 10 2014

A number of reporting companies are still working diligently to comply with their obligations to file the initial Form SD, by May 31, 2014, under the

New SEC no-action letter exempts M&A brokers from federal broker-dealer registration requirement

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • February 6 2014

The Staff of the Securities and Exchange Commission has just released a significant no-action letter, dated Jan. 31, 2014 and revised Feb. 4, 2014