Shareholder
Associate
Special Counsel
Employee Benefits
Investment Management
SEC’s Private Fund Adviser Rules Struck Down by the Fifth Circuit
SEC Risk Alert Regarding Advisers Act Marketing Rule Compliance and Enforcement Actions
The New DOL Fiduciary Rule
DOL Finalizes Changes to the QPAM Exemption
SEC and FinCEN Propose CIP Requirements for Advisers
Supreme Court Limits SEC In-House Enforcement Authority in SEC v. Jarkesy
SEC Obtains Jury Verdict in “Shadow Trading” Insider Trading Case
SEC Enforcement Action Against RIA Relating to Off-Channel Communications
SEC Enforcement Action Against Adviser for “Pay-to-Play” Rule Violations
Federal Ban of Effectively all Existing and Future Non-Competes
T+1 Settlement Cycle | Compliance Impact on Advisers
Form N-PX Filing | Compliance Reminders for Investment Companies and Advisers Filing Form 13F
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