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Trends in U.S. finance

Paul Hastings LLP
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USA
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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
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USA
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May 14 2013

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

The Public Company Adviser - Spring 2013

Schiff Hardin LLP
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USA
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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
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USA
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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

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

Arnall Golden Gregory LLP
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USA
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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 headaches for conducting a private offering

Arnall Golden Gregory LLP
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USA
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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

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

Davis Polk & Wardwell LLP
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USA
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April 29 2013

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

Top five traps for the unwary in spin-offs

McDermott Will & Emery
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USA
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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

Crowdfunding and JOBS Act news roundup April 26, 2013

Leonard, Street and Deinard
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USA
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April 26 2013

On Thursday the SEC sent out a press release captioned "SEC Seeks to Halt Scheme Raising Investor Funds Under Guise of JOBS Act." The action doesn't

SEC staffer cautions private funds industry on potential broker registration issues

Proskauer Rose LLP
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USA
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April 26 2013

In a recent speech given to the ABA Trading and Markets Subcommittee, David W. Blass (Chief Counsel of the SEC's Division of Trading and Markets

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Search results

Trends in U.S. finance

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

The Public Company Adviser - Spring 2013

SEC raises private equity fund broker-dealer concerns

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

Top headaches for conducting a private offering

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

Top five traps for the unwary in spin-offs

Crowdfunding and JOBS Act news roundup April 26, 2013

SEC staffer cautions private funds industry on potential broker registration issues

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