Matthew L. Fornshell

Ice Miller LLP

Articles

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SEC Readies to Expand Enforcement Investigations

USA - February 11 2021 The SEC announced this week that it will restore the authority of senior officers to move quickly to bring new investigations, a clear signal that it…

Timothy D. Belevetz, Guillermo Christensen, Meredith Wood.

DOL Issues Final Investment Advice Prohibited Transaction Exemption

USA - January 8 2021 On December 15, 2020, the Department of Labor ("DOL") issued its final prohibited transaction exemption [Prohibited Transaction Exemption 2020-02…

Austin Anderson, Gary Blachman, Erik Hansen, Ian Minkin, Melissa Proffitt Reese.

Department of Labor Issues Final Rule on Proxy Voting

USA - December 28 2020 On December 11, 2020, the Department of Labor ("DOL") issued its final rule addressing plan fiduciaries' investment duties with regard to proxy voting…

Austin Anderson, Gary Blachman, Erik Hansen, Ian Minkin, Melissa Proffitt Reese.

SEC Adopts Revised Marketing Rule for Investment Advisers

USA - December 23 2020 On December 22, 2020, the Securities and Exchange Commission ("SEC") announced it had finalized revisions under the Investment Advisers Act of 1940…

Erik Hansen.

SEC Proposes Conditional Exemption for Finders Assisting Small Businesses with Capital Raising

USA - October 8 2020 On October 7, 2020 the Securities and Exchange Commission ("SEC") voted to propose a new limited, conditional exemption from broker registration for…

Erik Hansen.