We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search

Refine your search

Content type

Tags

Firm name

Author

257 results found

Article

McDermott Will & Emery | USA | 24 Apr 2018

DOL Less Likely to Appeal Fifth Circuit Ruling Vacating Expansion of Fiduciary Rule in Light of Recent SEC Guidance

In a recent 2-1 decision, the Fifth Court vacated the US Department of Labor’s controversial expansion of the ERISA fiduciary regulations (the New

Article

Baker Botts LLP | USA | 18 May 2011

SEC to increase "qualified client" thresholds

The SEC recently issued a Release under the Investment Advisers Act of 1940 which will impact the future marketing activities of investment advisers to hedge funds and other investment funds relying on the Section 3(c)(1) exemption from registration under the Investment Company Act of 1940.1

Article

Lowenstein Sandler LLP | USA | 20 Oct 2008

SEC extends Form SH filing program with certain modifications

On October 15, 2008, the Securities and Exchange Commission (the “Commission”) adopted an interim final temporary rule requiring certain institutional investment managers to file information on Form SH concerning their short sales and positions of section 13(f) securities, other than options.

Previous page 1 2 3 ...