Supreme Court Ruling, Criminal Trial Shake Up Insider Trading: SEC Roundup
By Nick Morgan | Tom ZaccaroThe attorneys unpack how recent developments could affect enforcement around planned insider sales of company stock.
June 14, 2024
Court Adopts SEC's Expansive View of 'Dealer': SEC RoundupSEC's rationale threatens to ensnare unsuspecting private funds, family offices and private investment in public equity (PIPE) investors.
May 24, 2024
Will This Crypto Requirement Be Killed? — SEC RoundupCongress voted to repeal an accounting requirement that crypto assets be reported as liabilities. Will Biden approve?
May 02, 2024
Beware of Double Jeopardy in SEC Proceedings: SEC RoundupAfter federal court litigation, the SEC may seek to bar you for the same conduct.
March 29, 2024
Court Tackles SEC Authority to Regulate Private Funds: SEC RoundupThe judges seemed interested in saving some of the rules even if they vacate others, IAA's Bernstein relays.
February 23, 2024
New SEC Dealer Rule Will Hit Private Funds: SEC RoundupAIMA's Suzan Rose says the rule expands BD registration to entities not traditionally considered as such.
January 09, 2024
Cybersecurity Rule Could Prompt Firms to 'Cry Wolf': SEC RoundupFacebook's former chief security officer explains why the rule may result in premature or inadvertently inaccurate disclosures.
December 19, 2023
How Charitable Works and Philanthropy Connect Alger to Its CommunityAlger CEO Dan Chung shows how giving back helps the financial industry and those communities that advisors serve and live in.