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Results: 1-10 of 343

SEC Division of Investment Management issues cybersecurity guidance for investment funds and advisers
  • McGuireWoods LLP
  • USA
  • May 13 2015

The U.S. Securities and Exchange Commission's ("SEC") Division of Investment Management ("Division") recently released a Guidance Update ("Guidance"


The SEC considers updating the accredited investor definition: a discussion of status, SEC Advisory Committee recommendations and comments
  • McGuireWoods LLP
  • USA
  • May 4 2015

The accredited investor (AI) definition is an extremely important component of the private placement market. A significant amount of capital is


SEC proposes “pay-versus-performance” disclosure rules
  • McGuireWoods LLP
  • USA
  • May 1 2015

On April 29, the Securities and Exchange Commission (SEC) proposed new "pay-versus-performance" disclosure rules to implement one of the last two


CFPB remains noncommittal regarding restrained enforcement period for TILARESPA integrated disclosures rule
  • McGuireWoods LLP
  • USA
  • April 29 2015

The TILARESPA integrated disclosures (TRID) rule issued by the Consumer Financial Protection Bureau (CFPB) under the Dodd-Frank Wall Street Reform


Will Judge Rakoff get his wish? changes to federal sentencing guidelines may alter the plea bargaining process
  • McGuireWoods LLP
  • USA
  • April 16 2015

In an article last fall, U.S. District Judge Jed Rakoff lamented the prevalence and process of plea bargaining in today’s criminal justice system


SEC charges group of unregistered broker-dealers trading in corporate bond market
  • McGuireWoods LLP
  • USA
  • April 6 2015

Last week, the Securities and Exchange Commission (SEC) charged more than 20 individuals and companies with violations of the Securities Exchange Act


Inadequate internal controls cost tech firm $750,000
  • McGuireWoods LLP
  • USA
  • April 3 2015

Without admitting or denying the U.S. Securities and Exchange Commission’s findings, Polycom Inc. settled with the agency on Tuesday, March 31, 2015


Biomet FCPA announcement highlights distributor-related risks
  • McGuireWoods LLP
  • USA
  • March 26 2015

Last week, Biomet Inc. announced in a filing with the U.S. Securities and Exchange Commission (SEC) that instead of its 2012 deferred prosecution


Spring 2015 SBIC debenture coupon rates move lower to 2.517 in largest SBIC offering
  • McGuireWoods LLP
  • USA
  • March 24 2015

In March 2015, the SBIC Funding Corporation completed a pooling of SBA debentures in the amount of $1.16 billion, the largest pooling in the program’s


SEC to vote on Regulation A this Wednesday - will state law preemption survive?
  • McGuireWoods LLP
  • USA
  • March 23 2015

On Friday, March 20, 2015, the SEC announced it will vote on its proposed changes to Regulation A at an open meeting on Wednesday, March 25, 2015