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SEC Approves Amendments to FINRA Rules 5130 and 5131

USA - November 19 2019 On November 5, 2019, the Securities and Exchange Commission (the "SEC") approved amendments to FINRA Rule 5130 (Restrictions on the Purchase and Sale…

Joanna D. Rosenberg, Stacey Song

Considerations on Returning PPP Loans

USA - April 28 2020 Under the federal CARES Act Payroll Protection Program (PPP), which provides forgivable loans to small businesses, more than 1.6 million loans were…

William J. Breslin, Michael T. Gershberg, Joshua D. Roth, Gail Weinstein, Steven M. Witzel, Jennifer A. Yashar

SEC Fines Private Equity Adviser for Repeated Late Distribution of Audited Financials

USA - July 18 2018 On July 17, 2018, the Securities and Exchange Commission ("SEC") announced a settlement with registered investment adviser New Silk Route Advisors, L…

Joanna D. Rosenberg, Stacey Song

SEC Settles Eight Enforcement Actions for Violations of Advertising Rule and Pay-to-Play Rule

USA - July 11 2018 On July 10, 2018, the Securities and Exchange Commission (the "SEC") announced five settlements (the "Advertising Rule Settlements") in connection…

Joanna D. Rosenberg, Stacey Song

SEC Staff Grants Custody Rule No-Action Relief to Investment Adviser Acting as Administrative Agent

USA - January 9 2019 On December 20, 2018, the staff (the "Staff") of the Securities and Exchange Commission ("SEC") granted conditional no-action relief to Madison…

Joanna D. Rosenberg, Stacey Song