Articles

Results 1 to 5 of 18


Financial Services Update, Vol. 14, Issue 39

USA - October 21 2019 Broker-dealers and investment advisers should note the new resources published by the Financial Industry Regulatory Authority (“FINRA”) regarding…

Basil V. Godellas

Who Will Be an Excepted Investor Under the Proposed CFIUS Regulations?

USA - September 20 2019 Before the proposed regulations were posted on September 17, practitioners and investors were keenly interested in whether CFIUS would develop a…

Francesca M.S. Guerrero, Jennifer L. Parry

Financial Services Update, Vol. 14, Issue 26

European Union, USA - July 15 2019 In preparation for the September 10, 2019, effective date of the Securities and Exchange Commission’s (“SEC”) Regulation Best Interest…

Basil V. Godellas

Reminder of Annual Requirements for Investment Managers - 2019

USA - January 25 2019 An Investment Manager that is registered with the SEC as an investment adviser (a “Registered Manager”) under the Investment Advisers Act of 1940, as…

Glen P. Barrentine, John T. Albers, Aimee A. Albright, John P. Alexander, Jonathan T. Ammons, Terry S. Arbit, Cole Beaubouef, J. Wade Challacombe, Megan M. Devaney, Shawn R. Durrani, Christine A. Edwards, Daniel A. Filstrup, Margaret Lomenzo Frey, Richard E. Ginsberg, Basil V. Godellas, Jay B. Gould, Morton E. Grosz, Winston Hao Gu, Francesca M.S. Guerrero, Jacqueline P. Hu, Rachel Ingwer, Mary E. Jardine, Brian J. Kozlowski, Beth R. Kramer, Michael L. Loesch, Julius L. Loeser, Breanne K. Long, Bradley S. Mandel, Andrew J. McDonough, Sharon Mori, Scott W. Naidech, Joseph H. Nesler, Kate L. Price, Zachariah A. Robert, Alan B. Roth, Bradley T. Schlotter, Alessandra V. Swanson, Gregory M. Weston, Michael G. Wu

Financial Services Update, Vol. 14, Issue 2

USA - January 14 2019 The ongoing government shutdown is affecting many federal agencies, including the Securities and Exchange Commission (“SEC”). On January 10th, the…

Basil V. Godellas, Jay B. Gould