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On September 20, a divided Ninth Circuit panel broke with nearly 50 years of precedent in holding that investors could challenge the accuracy of Slack’s registration statement even if t...
Financial services regulatory reform continues to be active in 2021, with the Biden Administration focused on activity at the intersection of financial regulation and social policy. As we...
On September 13, 2021, the House Ways and Means Committee released its tax proposal (the Committee Proposal) for raising revenue to help fund President Biden’s Build Back Better Act.
The SEC has issued a broad request for information and public comment on the use of “digital engagement practices” and analytics technology by broker-dealers and investment advisers.
The SEC filed three enforcement actions against investment advisers and broker-dealers for cybersecurity deficiencies after the firms experienced incidents that exposed customer and clien...
Here is our latest report on regulatory developments relating to private equity and investment management. In this issue, we discuss, among other things, recent SEC enforcement actions in...
Below is our latest report on regulatory developments relating to private equity and investment management. In this issue, we discuss, among other things, recent SEC enforcement actions ...
Updated September 3, 2021Recently a purported shareholder of certain SPACs initiated derivative lawsuits asserting that the SPACs are investment companies under the Investment Company Act...
A Second Circuit panel affirmed a decision dismissing securities fraud claims against Danske Bank and its officers and directors. The panel unanimously held that plaintiffs had not pled ...