Publications

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Article Title Publication Date
Does The Supreme Court’s Decision in Lucia Alter the Fairness of SEC Administrative Proceedings BulletPoint June 2018
Criminal Conviction Highlights the Risk of Insider Trading Liability for Using “Political Intelligence” BulletPoint May 2018
SEC Announces 2018 Examination Priorities BulletPoint February 2018
“Who Is Who?” and “Who Owns Whom?”- Are You Ready for LEIs? GlobalNote November 2017
SEC Amendments to Form ADV Effective on October 1, 2017 BulletPoint September 2017
2nd Circuit upholds insider trading conviction of Mathew Martoma, striking down a key holding of Newman BulletPoint August 2017
The Law of Insider Trading: A Primer For Investment Managers Other Publications January 2017
Supreme Court Clarifies “Personal Benefit”: Requirement for Insider Trading Liability BulletPoint December 2016
Regulatory Provisions in the US Affecting Non-US Investment Advisers GlobalNote March 2016
SEC’s Office of Compliance Inspections and Examinations Releases its 2016 Examination Priorities BulletPoint January 2016
Cert Denied! Supreme Court Lets the Newman Decision Stand BulletPoint October 2015
Some Suggestions for the Securities Lawyer When Handling Transactions On Behalf of A Client Attorney Professionalism Forum September 2015
SEC Proposed Rules Aim at Removing Confusion about the Registration of Affiliated Investment Advisers – Umbrella Registrations BulletPoint June 2015
Avoidance of Securities Transactions – Investor Exposure E-Alert May 2014
Assessing Never-Examined SEC-Registered Investment Advisers: An SEC NEP Priority Other Publications April 2014
SEC Finalizes “Bad Actor” Rules BulletPoint September 2013
SEC Finalizes General Solicitation and “Bad Actor” Rules BulletPoint July 2013

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17 results found. Viewing page 1 of 1

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