May 24, 2024
Much Sad
May 23, 2024
SEC Amends Regulation S-P to Require Data Breach Notifications and Additional Written Policies
May 23, 2024
Partner Bradley Fay Interviewed in Hedge Fund Law Report Article Titled, “Impact of Amendments to QPAM Exemption on ERISA Funds”
May 16, 2024
DOL Publishes Final Regulation Expanding the Definition of an ERISA Fiduciary
April 16, 2024
SEC Settles Charges Against Adviser for Improperly Splitting Legal Fees
May 15, 2024
SEC Charges Investment Adviser with Pay-to-Play Violation, Bringing Political Contributions into Focus During Election Year
May 10, 2024
Seward & Kissel Attorneys Author IAA Article on Off-Channel Communications
April 7, 2024
SEC Charges Five Advisers with Violations of the Marketing Rule; SEC Staff Releases Risk Alert on Marketing Rule Compliance
May 2, 2024
T+1 Settlement Cycle: Implications for Investment Advisers
May 2, 2024
Employment Litigation Roundup: April 2024
April 30, 2024
The US Maritime Security Program
April 29, 2024
CBOE Applies for SEC Approval to List and Trade ETF Share Classes
April 29, 2024
FTC Finalizes Non-Compete Rule
April 24, 2024
SEC Settles Charges with Adviser for Recordkeeping Violations and Staff Lays Out Factors Considered in Determining What Penalties to Recommend for Off-Channel Communications Violations
April 23, 2024
Greenbook Tax Proposals