Investment Management

In this issue, we highlight the SEC Enforcement Director’s recent remarks regarding the Division’s enforcement priorit...

On April 20, 2026, the SEC and CFTC proposed amendments to Form PF, the confidential reporting form filed by SEC-registere...

In this issue, we discuss a recent enforcement action involving fraud and registration charges against three venture capit...

In this issue, we discuss a settled SEC enforcement action involving “season-and-sell” programs and new Division of In...

In this issue, we discuss proposed amendments to Form N-PORT reporting requirements, the SEC enforcement director’s firs...

In this issue, we discuss a compliance risk alert and new FAQs both regarding the Advisers Act Marketing Rule, proposed am...

The Federal Trade Commission has announced 2026 Hart-Scott-Rodino Act reporting thresholds starting at $133.9 million and ...

In this issue we discuss, among other things, an SEC exemptive order permitting a registered fund to offer exchange-traded...

The Delaware Court of Chancery pauses a proposed continuation fund transaction following a sovereign wealth fund’s alleg...

In this issue, we discuss, among other things, the SEC Division of Examinations’ exam priorities for 2026, and a recent ...