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Special Issues under Sections 13(d) and 16 for Hedge Funds

USA - January 22 2019 The filing requirements and liability provisions under Sections 13(d) and 16 of the Exchange Act continue to challenge Hedge Funds, due to sometimes...

Frank Zarb.

Division of Corporate Finance Releases Updated C&DIs

USA - June 20 2018 On May 11, 2018, the Securities and Exchange Commission’s Division of Corporate Finance (the “Division”) released new Compliance and Disclosure...

James R Huffman, Frank Zarb, Joshua M Miller.

New SEC Probe of ICO Issuers and SAFT Structure

USA - March 12 2018 The Wall Street Journal recently reported that the SEC has issued dozens of subpoenas and information requests in connection with sales and pre-sales...

Further SEC action and guidance with respect to ICOs and cryptocurrencies

USA - December 11 2017 The SEC took two additional steps today in its regulation and oversight of the initial coin offering (“ICO”) and cryptocurrency markets. In the SEC’s...

Trevor Dodge.

SEC Chairman Jay Clayton’s Remarks on ICOs

USA - November 14 2017 In his remarks at a recent Practicing Law Institute program on securities regulation, Securities and Exchange Commission Chairman Jay Clayton once...

Michael Saliba.