Laurin Blumenthal Kleiman

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SEC Proposes New Rule Amendments for Money Market Funds

USA - January 3 2022 On December 15, 2021, by a 3-2 vote, the U.S. Securities and Exchange Commission proposed a new round of rule amendments intended to “improve the…

Jay G. Baris, Nathan J. Greene, Jesse C. Kean, Louisa Kiu, Douglas E. Mccormack

SEC signals increased scrutiny of private funds

USA - November 17 2021 On November 10, 2021, at the Institutional Limited Partners Association (ILPA) Summit, U.S. Securities and Exchange Commission (SEC) Chair Gary…

Victoria A. Anglin, W. Hardy Callcott, Chuck Daly, Ranah Esmaili, Elizabeth Shea Fries

SEC Identifies Deficiencies From its Electronic Investment Advice Initiative

USA - November 12 2021 On November 9, 2021, the U.S. Securities and Exchange Commission (SEC) Division of Examinations (EXAMS) released a risk alert (Risk Alert) concerning…

Victoria A. Anglin, W. Hardy Callcott, Chuck Daly, Ranah Esmaili, Elizabeth Shea Fries, Nathan J. Greene

SEC Fines Alternative Data Provider for Securities Fraud

USA - September 30 2021 On September 14, 2021, the U.S. Securities and Exchange Commission (SEC) settled an enforcement action against App Annie Inc., an alternative data…

W. Hardy Callcott, Stephen L. Cohen, Ranah Esmaili, Ryan L. Parchment, Barry W. Rashkover

Up and Running: The First Months of the SEC Under Chair Gensler

USA - August 26 2021 Chair Gary Gensler’s first four months heading the SEC have set the tone for regulatory and enforcement actions that can be expected over the next…

Sonia Gupta Barros, W. Hardy Callcott, Ranah Esmaili, Barry W. Rashkover