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Results: 1-10 of 613

Avoiding investment scams

  • Diaz Reus
  • -
  • USA
  • -
  • May 21 2013

Every year, people lose millions of dollars to scams of every size and kind. Investment scams are particularly dangerous because they come in many

Trends in U.S. finance

  • Paul Hastings LLP
  • -
  • USA
  • -
  • May 17 2013

Corporate Partners Richard Farley and Jennifer Yount discuss trends in U.S. finance. Click here to watch video

Investment portals addressed in SEC staff guidance under JOBS Act; no-action letters also issued

  • Dechert LLP
  • -
  • USA
  • -
  • May 14 2013

Technology has spawned the formation of new internet-based marketplaces for illiquid and restricted securities. In most instances, these markets are

Private equity funds face increased scrutiny from the SEC

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • May 14 2013

The SEC has increased its focus on the private equity industry over the last few years. In 2010, the SEC formed the Asset Management Unit in order to

The Public Company Adviser - Spring 2013

  • Schiff Hardin LLP
  • -
  • USA
  • -
  • May 8 2013

On February 27, 2013, the Supreme Court decided two cases under the federal securities laws, one a victory for plaintiffs in class actions for damages

SEC raises private equity fund broker-dealer concerns

  • Whiteford Taylor & Preston LLP
  • -
  • USA
  • -
  • May 5 2013

In remarks before the American Bar Association's Trading and Markets Subcommittee, the Chief Counsel of the SEC's Division of Trading and Markets

Top headaches for conducting a private offering

  • Arnall Golden Gregory LLP
  • -
  • USA
  • -
  • May 2 2013

Preparing and completing a private offering of securities in compliance with federal and state securities laws can be a daunting task. There are many

The SEC’s private equity “initiative” leaves no stone unturned: time to take a hard look at your compliance programs

  • Arnall Golden Gregory LLP
  • -
  • USA
  • -
  • May 2 2013

In March, the SEC settled two enforcement actions involving private equity.The two actions are just the latest indicators of the SEC's wide ranging

Top five traps for the unwary in spin-offs

  • McDermott Will & Emery
  • -
  • USA
  • -
  • April 29 2013

A wave of corporate breakups has swept through the United States over the last few years as investors have taken notice of the fact that smaller

SEC charges private equity fund advisers with misleading investors about valuation and performance

  • Davis Polk & Wardwell LLP
  • -
  • USA
  • -
  • April 29 2013

On March 11, 2013, the SEC announced the settlement of charges against two affiliated registered investment advisers - Oppenheimer Asset Management

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