AND	term1 AND term2	Both terms must be included
OR	term1 OR term2	Either term
NOT	term1 NOT term2	term2 must not appear
""	"term1 term2"	Exact match
()	term1 AND (term2 OR term3)	Grouping terms
?	withdr?w	Single letter wildcard (withdraw, withdrew)
*	withdr*	Multiple letter wildcard (withdraw, withdrawn, withdrawing)
"..."~n	"term1 term2"~n	Proximity (term1 within n words of term2)

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Results:1-10 of 1,757

OCIE Publishes Risk Alert Regarding Cash Solicitation Rule

Fried Frank Harris Shriver & Jacobson LLP
USA
November 5 2018

On October 31, 2018, the Office of Compliance Inspections and Examinations ("OCIE") published a National Exam Program Risk Alert (the "Risk Alert")

What's New for the 2019 Proxy Season: Momentum Grows for Proxy Voting Reform and Sustainability Disclosure

Weil Gotshal & Manges LLP
USA
October 3 2018

The past few weeks have been particularly eventful for those who follow the turbulent, complex world of proxy voting and shareholder activism.

SEC Sanctions Adviser and Portfolio Manager for Improper Cross Trades and Failure to Seek Best Execution

Morrison & Foerster LLP
USA
September 28 2018

In a recently settled enforcement matter, the SEC imposed a $1 million penalty on an investment adviser based on findings that the adviser violated

SEC Announces Roundtable on Proxy Process, Signals Potential Change in Approach to Proxy Advisory Firms

Vinson & Elkins LLP
USA
September 19 2018

Recent public statements by the Division of Investment Management of the U.S. Securities and Exchange Commission and by an SEC Commissioner have

SEC Signals Changing Views on Regulation of Proxy Advisory Firms

Brownstein Hyatt Farber Schreck LLP
USA
September 18 2018

In recent years, the friction between public companies and proxy advisory firms--companies that provide proxy vote recommendations to institutional

SEC Staff Withdraws Proxy Advisory Guidance Ahead of Fall Roundtable on Proxy Process

Sullivan & Cromwell LLP
USA
September 14 2018

Yesterday, the SEC's Division of Investment Management withdrew two interpretive letters issued in 2004 to Egan-Jones Proxy Services and Institutional

Three Notable Developments for Cryptocurrency Firms Portend Future Regulatory Enforcement Actions

Brownstein Hyatt Farber Schreck LLP
USA
September 13 2018

The price of bitcoin is down nearly 80 percent since January 2018. Many other cryptocurrencies are down with it and investors are bearish about the

Recent Development in Regulatory Enforcement of Digital Securities

Sheppard Mullin Richter & Hampton LLP
USA
September 12 2018

In a flurry of activity and confluence of developments, the SEC, FINRA and a Brooklyn federal judge have commenced actions and made rulings that

SEC Staff Issues Additional Guidance Regarding Inadvertent Custody

Vedder Price PC
USA
August 21 2018

In February 2017, the staff of the SEC's Division of Investment Management (the Staff) addressed circumstances in which an investment adviser may be

Adviser Settles SEC Administrative Proceeding Regarding Conflicts of Interest Disclosure

Vedder Price PC
USA
August 21 2018

Pursuant to an order dated June 4, 2018 (the Order), the SEC settled an administrative proceeding against investment adviser deVere USA, Inc. (DVU)

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