Communiques

  SEC Enforcement Examinations? Mr. Karpati indicated that “these Units work to generate expertise for the Division of Enforcement” and that “they consult on exams;

There were a number of important regulatory developments in November, which we will cover in detail over the coming weeks. Here are the top three

Another Record Year of Enforcement Actions against Investment Advisers The SEC has just released its most recent statistics on its enforcement program.  Numerous actions were

On October 17, the Securities and Exchange Commission (“SEC”) charged New Jersey-based Yorkville Advisors LLC (“Yorkville”), its founder Mark Angelo (“Angelo”), and its Chief Operating

After the Commodity Futures Trading Commission (“CFTC”) rescinded certain exemptions numerous advisers must now evaluate their registration requirements (please see our previous communiqués here on

After the Commodity Futures Trading Commission (“CFTC”) rescinded certain exemptions, numerous advisers must now evaluate their registration requirements (please see our previous communique here on the

After the Commodity Futures Trading Commission (“CFTC”) rescinded certain exemptions, numerous advisers must now evaluate their registration requirements (please see our previous communique here on the

Andrew Bowden, Deputy Director of the Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) and in charge of OCIE’s national examination

New NFA Rules effective September 1, 2012 mandate the registration of “Swaps Firms” and “Swaps APs” and provide an exemption from Series 3 for Swap

The Securities and Exchange Commission (“SEC”) has proposed amendments to Rule 506 of Regulation D to allow the use of general solicitation and advertising in