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In this issue, we discuss a risk alert issued by the SEC’s Division of Examinations regarding investment adviser examinations, and recent enforcement actions involving advisers, conflic...
The SEC has announced settlement of enforcement actions against two companies stemming from each company’s use of separation agreements that allegedly violated Dodd-Frank whistleblower ...
With a potential government shutdown only a few days away, we provide a number of SEC shutdown practice pointers for public companies and capital markets transactions.
Under a pair of California bills poised to become law, many large U.S. companies will be required to make broad-based climate-related disclosures starting as early as 2026. Once finalized...
Last week, the FTC alleged that a private equity firm undertook a “multi-year anticompetitive scheme” to dominate Texas anesthesiology practices through: (1) “serial” acquisitions...
The amendments broaden the scope of the requirement for registered investment companies and business development companies (BDCs) to adopt a policy to invest at least 80% of the value of ...
Buried in a defense spending bill that clocks in at over 2,000 pages is an amendment to Section 16 of the Exchange Act that would extend its application to foreign private issuers, adding...
In this edition of the newsletter, we discuss enforcement developments at the agencies in July and August 2023. The SEC filed 84 actions and the CFTC filed 16, against a combined total of...
The SEC’s amendments include new requirements related to quarterly statements, private fund audits, adviser-led secondaries, restricted activities, preferential treatment and annual rev...
The federal banking agencies’ 1,087-page Basel III endgame proposal, released on July 27 after split votes at both the Federal Reserve and the FDIC, has roiled the banking sector. The p...