Tannenbaum Helpern Syracuse & Hirschtritt, LLP
About Us Careers Contact Us Search
Home Practice Areas Industries Case Results Attorneys Publications Events Press Room

SEC Finalizes Bad Actor Rules

Registered Investment Advisers Are Now Expected to Retain E-Mail
SEC Finalizes General Solicitation and “Bad Actor” Rules
Revised TIC B Forms May Impact Certain Investment Managers and Private Investment Funds
SEC Finalizes Bad Actor Rules
SEC Proposed Rules Aim at Removing Confusion about the Registration of Affiliated Investment Advisers – Umbrella Registrations
Cert Denied! Supreme Court Lets the Newman Decision Stand
SEC’s Office of Compliance Inspections and Examinations Releases its 2016 Examination Priorities
PATH Amendment to FIRPTA Affecting Non-US Pension Plan Investments in US Real Property
Supreme Court Clarifies “Personal Benefit”: Requirement for Insider Trading Liability
2nd Circuit upholds insider trading conviction of Mathew Martoma, striking down a key holding of Newman
SEC Amendments to Form ADV Effective on October 1, 2017
General Data Protection Regulation Affects Investment Advisors with EU Clientele
So You Want to Manage a Cryptocurrency Fund? U.S. Regulatory Rules to Consider First
SEC Announces 2018 Examination Priorities
Top Six Advisory Fee and Expense Deficiencies Identified by OCIE
Criminal Conviction Highlights the Risk of Insider Trading Liability for Using “Political Intelligence”
What U.S.- Based Investment Advisers Should Know
Does The Supreme Court’s Decision in Lucia Alter the Fairness of SEC Administrative Proceedings
Business Litigation Bulletin
Employment Notes
Note from the Real Estate Group
THSH E-Alert
Other Publications
Articles By Topic
Cyber & Privacy Alert
New York Law Journal
Attorney Professionalism Forum
Join Our Mailing List
Like us on FaceBook Follow us on Twitter Get LinkedIn with us Pin It! Email Us Print this Page

Sitemap |Terms of Use | Privacy | Attorney Advertising

Tannenbaum Helpern Syracuse & Hirschtritt LLP provides legal advice only to individuals or entities with which it has established an attorney-client relationship and such advice is based on the particular facts and circumstances of each matter. Contacting us through this site, or otherwise, will not establish an attorney-client relationship with us. Any e-mail or other communication sent to THSH or its lawyers through this site will not be treated as subject to the attorney-client privilege or as otherwise confidential and you should not include any confidential information in any such communication.