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Blockchain vs. the SEC - ICO (Initial Coin Offering) are securities!
  • Gardere
  • USA
  • July 31 2017

The Securities & Exchange Commission (SEC) ruled that “that issuers of distributed ledger or blockchain technology-based securities must register


NASAA requests comments on proposed franchise financial performance representations commentary
  • Gardere
  • USA
  • November 15 2016

In September 2016 the North American Securities Administrators Association Inc (NASAA) issued a notice of request seeking public comment on a


SEC Proposes New Rule Requiring Registered Investment Advisers to Establish Business Continuity and Transitions Plans
  • Gardere
  • USA
  • June 29 2016

Yesterday, the Securities and Exchange Commission ("the SEC") proposed new rules under the Investment Advisers Act of 1940 ("the Advisers Act") which


Companies need specific, well-executed plans to meet growing demands of federal and state agencies
  • Gardere
  • USA
  • April 21 2016

While cybersecurity risks have increased, government regulation has traditionally lagged behind. Recently, some government entities have tried to


SEC declares planning for prevention and detection of cyber intrusions is essential!
  • Gardere
  • USA
  • October 20 2015

In a recent speech SEC Chair Mary Jo White declared that while "cybersecurity attacks cannot be entirely eliminated, it is incumbent upon private fund


Cyber IT risk wake up time for board members!
  • Gardere
  • USA
  • February 6 2015

A former SEC Chair spoke at a Directors & Officers (D&O) insurance conference and said board members “should be knowledgeable about data inventories


Certain questions regarding exemptions for Texas investment advisers to private funds
  • Gardere
  • USA
  • January 9 2015

Many investment advisers to private funds have been, and wish to remain, exempt from investment-adviser registration in Texas. Before March 31, 2014


Questions regarding new exemptive rules for Texas investment advisers to private funds, part 2
  • Gardere
  • USA
  • January 8 2015

In our previous post , we addressed a set of questions regarding the ability of an investment adviser to a private fund to remain exempt from


Questions regarding new exemptive rules for Texas investment advisers to private funds, part 1
  • Gardere
  • USA
  • January 6 2015

We have received a number of questions over the last few months regarding the new Texas investment-adviser-registration exemptive rules that became


Court clarifies “personal benefit” for insider-trading liability
  • Gardere
  • USA
  • December 22 2014

The recent decision of the federal Second Circuit Court of Appeals in U.S. v. Newman et al. (December 10, 2014) is noteworthy for a few reasons