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Certain questions regarding exemptions for Texas investment advisers to private funds

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • January 9 2015

Many investment advisers to private funds have been, and wish to remain, exempt from investment-adviser registration in Texas. Before March 31, 2014

Questions regarding new exemptive rules for Texas investment advisers to private funds, part 2

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • January 8 2015

In our previous post , we addressed a set of questions regarding the ability of an investment adviser to a private fund to remain exempt from

Questions regarding new exemptive rules for Texas investment advisers to private funds, part 1

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • January 6 2015

We have received a number of questions over the last few months regarding the new Texas investment-adviser-registration exemptive rules that became

Court clarifies “personal benefit” for insider-trading liability

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

The recent decision of the federal Second Circuit Court of Appeals in U.S. v. Newman et al. (December 10, 2014) is noteworthy for a few reasons

A reminder for departing officers and directors

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • December 3 2014

Public companies occasionally must deal with officer or director departures, and when that occurs, the company would be well-served by reminding the

New Texas crowdfunding rules ten factors to consider

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • November 3 2014

So you'd like to take advantage of the new Texas intrastate crowdfunding rules, when they're effective in late November, to raise money for your

NASDAQ listed? Only 24 hours left to file compensation committee certification!

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • October 30 2014

Just a friendly reminder that issuers listed on the NASDAQ Stock Market (“NASDAQ”) must file a one-time certification certifying compliance with the

The SEC’s Investor Advisory Committee ponders change to accredited investor definition

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • October 9 2014

On Thursday, October 9, the Investor Advisory Committee of the Securities and Exchange Commission will meet to discuss whether to recommend a change

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