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Results: 1-10 of 126

SEC declares planning for prevention and detection of cyber intrusions is essential!
  • Gardere
  • USA
  • October 20 2015

In a recent speech SEC Chair Mary Jo White declared that while "cybersecurity attacks cannot be entirely eliminated, it is incumbent upon private fund


Cyber IT risk wake up time for board members!
  • Gardere
  • USA
  • February 6 2015

A former SEC Chair spoke at a Directors & Officers (D&O) insurance conference and said board members “should be knowledgeable about data inventories


Certain questions regarding exemptions for Texas investment advisers to private funds
  • Gardere
  • 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
  • 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
  • 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
  • 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
  • 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
  • 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
  • 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
  • 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