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Results: 1-10 of 401

The DOL Fiduciary Duty Rule: Impact on Cash Solicitors for Advisory Firms
  • Greenberg Traurig LLP
  • USA
  • September 21 2016

Under Rule 206(4)-3, adopted by the U.S. Securities and Exchange Commission pursuant to the Investment Advisers Act of 1940 (and under a number of


Regulation D Standards and Filings
  • Greenberg Traurig LLP
  • Israel, USA
  • September 6 2016

For Israeli startups and growth-stage companies that seek to raise capital from investors in the United States, it is imperative that they understand


New ADV Rule
  • Greenberg Traurig LLP
  • USA
  • August 25 2016

Today, the SEC announced the adoption of amendments to several rules under the Investment Advisers Act of 1940 and to Form ADV, the investment


SEC Scrutinizes Severance Agreements for Compliance With Dodd-Frank
  • Greenberg Traurig LLP
  • USA
  • August 22 2016

On Aug. 16, 2016, the U.S. Securities and Exchange Commission (SEC) announced that it had issued its second fine in as many weeks concerning a


FINRA Sends Targeted Exam Letter Concerning the Sale of Non-Traded Business Development Companies
  • Greenberg Traurig LLP
  • USA
  • August 9 2016

FINRA recently sent a sweep letter (or targeted exam letter) to select broker dealers, inquiring about those firms’ sale of non-traded Business


Regulatory Bodies with Oversight of an EB-5 Investment
  • Greenberg Traurig LLP
  • USA
  • August 8 2016

Due to the complex intersection of real estate, corporate, securities and immigration law (among others), an investment in a company under the EB-5


What is the Role of the SEC?
  • Greenberg Traurig LLP
  • USA
  • August 4 2016

In the United States, there are very strict laws in place to protect investors. These laws are administered by a governmental agency known as the U.S


U.S. Treasury Releases Long-Awaited Final Arbitrage Regulations
  • Greenberg Traurig LLP
  • USA
  • August 2 2016

On July 18, 2016, the U.S. Department of the Treasury (Treasury) promulgated long-awaited final regulations (the Final Regulations) under Section 148


Sanchez v. Crocs, Inc.: The Tenth Circuit Address Extraterritoriality
  • Greenberg Traurig LLP
  • USA
  • July 28 2016

In Sanchez v. Crocs, Inc., 2016 U.S. App. LEXIS 13285 (10th Cir. 2016), the Tenth Circuit addressed whether, after Morrison v. National Australia


SEC Share Class Sweep of Registered Investment Advisers Appears to be Underway
  • Greenberg Traurig LLP
  • USA
  • July 25 2016

Registered investment advisers have noticed increased SEC scrutiny during exams into mutual fund share class disclosure and fees in recent months