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.
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.
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...
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.
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.
