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87 results found

Article

Morrison & Foerster LLP | USA | 11 Jun 2014

Presence exams focus staff attention on private equity fund fees

In a recent speech, Andrew Bowden, Director of the SEC's Office of Compliance Inspections and Examinations (OCIE), "spread sunshine" on private

Article

Morrison & Foerster LLP | USA | 11 Jun 2014

Tidbits - June 2014

On June 3, 2014, the SEC awarded two whistleblowers $875,000 for aiding an SEC investigation. On May 29, 2014, the SEC named Stephanie Avakian

Article

Morrison & Foerster LLP | USA | 11 Jun 2014

SEC fines broker-dealer investment adviser for breakpoint violations

In a case reminiscent of the "breakpoint" enforcement actions brought 10 years ago by securities regulators, the SEC recently found that a dually

Article

Morrison & Foerster LLP | USA | 11 Jun 2014

SEC charges dark pool operator with improper use of trading information

On June 6, 2014, the SEC announced that it has charged a New York based brokerage firm that operates a dark pool alternative trading system with

Article

Morrison & Foerster LLP | USA | 11 Jun 2014

Securities regulators seek information on order routing

Apparently attempting to understand how broker-dealers provide best execution in the face of incentives to trade on certain exchanges, the SEC and

Article

Morrison & Foerster LLP | USA | 11 Jun 2014

Chair white: SEC to tackle high-frequency trading risks and dark pools

In a speech on June 5, 2014, SEC Chair Mary Jo White said that she has asked the SEC's staff to develop a recommendation for an anti- disruptive

Article

Morrison & Foerster LLP | USA | 11 Jun 2014

FINRA makes dark pool data publicly available

In an effort to increase market transparency and enhance investor confidence, FINRA now provides data indicating the activity levels in each

Article

Morrison & Foerster LLP | USA | 11 Jun 2014

SEC cautions investors about marijuana-related investments

In a May 16, 2014 investor alert, the SEC cautioned investors about potential risks involving investments in marijuana- related companies. The SEC

Article

Morrison & Foerster LLP | USA | 11 Jun 2014

Appeals court tosses district court decision to reject SEC settlement deal

The United States Court of Appeals for the Second Circuit, in a much anticipated opinion, overturned a 2011 decision written by Judge Jed S. Rakoff

Article

Morrison & Foerster LLP | USA | 11 Jun 2014

Commissioner Gallagher slams FSOC’s “misguided debate” over SIFI status for advisers

SEC Commissioner Daniel Gallagher wrote a comment letter to the SEC criticizing the Office of Financial Research (OFR) Asset Management and Financial

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