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SEC grants no-action relief to adviser to allow subadvisers to deliver brochure documents to adviser instead of clients

USA - July 18 2013 On June 20, 2013, the Division of Investment Management of the SEC issued a no-action letter to Goldman, Sachs & Co. ("GS&Co.") stating that it would...

John G. Crowley, Nora M. Jordan, Yukako Kawata, Leor Landa, Robert F. Young, Richard Small.

SEC adopts rules to eliminate general solicitation ban and proposes other private offering reforms mandated by JOBS Act

USA - July 18 2013 As mandated by Section 201(a) of the Jumpstart Our Business Startups Act, on July 10, 2013, the Securities and Exchange Commission (the "SEC")...

John G. Crowley, Nora M. Jordan, Yukako Kawata, Leor Landa, Robert F. Young, Richard Small.

Reminder regarding changes to form 13F filing process

USA - July 18 2013 This is a reminder that, pursuant to the SEC Division of Investment Management's April 2013 IM Information Update and related previous notice to...

John G. Crowley, Nora M. Jordan, Yukako Kawata, Leor Landa, Robert F. Young, Richard Small.

D.C. Circuit upholds dismissal of ICI and Chamber of Commerce challenge to CFTC amendments affecting registered investment companies

USA - July 18 2013 On June 25, 2013, the U.S. Court of Appeals for the District of Columbia affirmed the decision of a district court to dismiss the joint suit filed...

John G. Crowley, Nora M. Jordan, Yukako Kawata, Leor Landa, Robert F. Young, Richard Small.

SEC issues second-ever whistleblower award

USA - July 18 2013 On June 12, 2013, the SEC announced its second-ever "whistleblower" award under Section 21F of the Exchange Act in connection with SEC v. Andrey C...

John G. Crowley, Nora M. Jordan, Yukako Kawata, Leor Landa, Robert F. Young, Richard Small.