Private Equity

In this issue, we discuss among other things updated FAQs regarding compliance with the marketing rule under the Advisers ...

While scaled back from the original proposal, the final rules expand the scope of firms required to register as dealers as...

In this issue, we discuss SEC Chair Gary Gensler’s statement regarding the recent approval of spot bitcoin exchange-trad...

The Federal Trade Commission (FTC) announced revised Hart-Scott-Rodino Act (HSR) reporting thresholds and filing fee amoun...

The Federal Trade Commission has announced revised thresholds for Section 8 of the Clayton Act.  Under the new thresholds,...

In this issue, we discuss a recent enforcement action involving an investment adviser and alleged custody rule violations.

In this issue, we discuss recent enforcement actions and litigation involving investment advisers.

The Second Circuit reaffirmed that the safe harbor of section 546(e) of the Bankruptcy Code protects transfers made in con...

In this issue, we discuss the 2024 examination priorities for the SEC’s Division of Examinations.

In this issue, we discuss a risk alert issued by the SEC’s Division of Examinations regarding investment adviser examina...