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Mergers are common among investment advisers and the SEC’s Division of Investment Management has just made clear that an adviser that combines with a second ...
Simply listing out what actions your client has taken, without more, does not explain the significance of the cooperation. In my view, the more effective ...
Even more difficult to justify was the Dodd-Frank mandate that public companies disclose the ratio of the CEO’s pay to the median employee pay.[10] A ...
While The Robare Group’s enforcement case remains unresolved, the SEC isn’t giving up on the contention that the use of the word ‘may’ in describing ...
Sophisticated algorithms depend on this data being of high quality and being machine readable. When applied to the emerging fields of SupTech and RegTech, there ...
These look the most like securities. Their creator sells them as a means of raising funds. In one potential example, the issuer may ...
It isn’t often that a government attorney appears before the Supreme Court to argue against a federal law. But that’s what happened April 23 as ...
The Middle-Market IPO Tax Commissioner Robert Jackson, Jr. Cleveland, Ohio April 25, 2018 Thank you so much, Tom, for that kind introduction. It’s a ...
Remarks before the SIFMA Equity Market Structure Conference Commissioner Hester Peirce New York, NY April 18, 2018 Thank you, Randy [Snook], for your kind ...
The Supreme Court made it clear in February that whistleblower anti-retaliation protections extend to only those who bring their allegations to the SEC (IA Watch, ...