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SEC Settles Enforcement Proceeding Without Imposing a Penalty Against Adviser That Self-Reported Alleged Expense Waiver Misrepresentations

USA - November 10 2020 On September 30, 2020, the SEC announced that it had settled administrative proceedings against an investment adviser for alleged compliance policy...

Nathaniel Segal, Jacob C. Tiedt, Cody L. Lipke.

SEC Proposes Conditional Exemption for Finders Engaging in Limited Capital Raising Activities

USA - November 10 2020 On October 7, 2020, the SEC proposed a new, conditional exemption from broker-dealer registration for certain "Finders" who assist issuers with...

Nathaniel Segal, Jacob C. Tiedt, David W. Soden.

District Court Grants Great-West’s Motion for Sanctions Following Trial Victory in Section 36(b) Case

USA - November 10 2020 On August 7, 2020, the U.S. District Court for the District of Colorado issued a judgment in favor of Great-West Capital Management, LLC and...

Nathaniel Segal, Jacob C. Tiedt, Tyrique J. Wilson.

SEC Adopts New Framework for Fund of Funds Arrangements

USA - November 10 2020 On October 7, 2020, the SEC adopted new Rule 12d1-4 under the Investment Company Act of 1940 and related rule and form amendments that implement a new...

Nathaniel Segal, Jacob C. Tiedt, Mark Quade.

SEC Adopts Amendments to Shareholder Proposal Rule

USA - November 10 2020 On September 23, 2020, the SEC adopted amendments to Rule 14a-8 under the Securities Exchange Act of 1934, which provides the procedural and...

Nathaniel Segal, Jacob C. Tiedt, John M. Sanders.