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Laurin Blumenthal Kleiman

Sidley Austin LLP

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SEC Announces Examination Priorities for 2019

USA - January 8 2019 On December 20, 2018, the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (the SEC) released...

Jonathan B. Miller, David A. Form.

Investment Funds, Advisers and Derivatives - Mid-Year Recap of Our 2018 Client Updates

USA - July 12 2018 As the developments affecting the investment management industry continue to unfold, we have once again prepared our semi-annual compendium of...

William D. Kerr, Michael J. Schmidtberger, Effie Vasilopoulos, Stephen J. D. Ross.

U.S. Securities and Exchange Commission Issues Two New Frequently Asked Questions About “Inadvertent Custody”

USA - June 28 2018 On June 5, 2018, the Securities and Exchange Commission (SEC) staff updated its “Staff Responses to Questions about the Custody Rule” (FAQs) by...

Jonathan B. Miller, Kara J. Brown, Cynthia L. Wells, Joyce E. Larson.

SEC Proposes New Standard of Care for Broker-Dealers: Overview and Considerations for Investment Professionals

USA - May 9 2018 On April 18, 2018, the U.S. Securities and Exchange Commission (SEC) released for comment three proposals intended to enhance the standard of...

John A. Mackinnon, Stephen L. Cohen, Andrew J. Sioson, James Brigagliano, W. Hardy Callcott.

2018 Update for Investment Advisers Important Annual Requirements; 2018 SEC Exam Priorities; Recent SEC Enforcement Initiatives

USA - February 28 2018 Investment advisers registered with the Securities and Exchange Commission (SEC) (each, an RIA) are subject to certain annual requirements under the...

James B. Biery, Jonathan B. Miller, David A. Form, Nathan A. Howell, Mark D. Whatley.