Publications
Client Alert
E-asier Delivery: SEC Proposes Regulation E-Delivery, Which Would Allow Electronic Delivery by Default
July 30, 2026Client Alert
Supreme Court: Investor Harm Not Required for SEC Disgorgement Remedy
June 12, 2026Client Alert
The ‘Skinny’ on the SEC and CFTC’s Proposed Amendments to Form PF to Make Private Fund Reporting ‘Smarter’
April 29, 2026Client Alert
SEC Settles Charges with Robo-Adviser for Disclosure-Based Breach of Fiduciary Duty
April 9, 2026Podcast
The SEC's Regulatory Reset: Staying Ahead of the Curve
March 16, 2026
Client Alert
Rightsizing Its Rules: SEC Proposes Significant Expansion of Small-Entity Designation for Investment Companies and Investment Advisers
January 13, 2026
Client Alert
SEC Examinations Continues to Spotlight the Marketing Rule
December 22, 2025
Client Alert
SEC Charges Private Equity Fund Adviser with Negligence-Based Breach of Fiduciary Duty for Charging Excess Management Fees
August 25, 2025
Client Alert
FinCEN Delays Compliance Date for AML/CFT Rule: Will Reopen Along with CIP Rule
July 25, 2025
Client Alert
D.C. Circuit Decision Limits SEC Regulatory Reach Over Proxy Advisory Firms
July 2, 2025
Client Alert
SEC Settles Charges Against RIAs for Misleading Conflict of Interest Disclosures Under the Marketing Rule
September 18, 2024Client Alert
SEC Prunes Use of Hedge Clauses
September 12, 2024
Client Alert
FinCEN Finalizes AML/CFT Rule: 6 Takeaways for Investment Advisers Facing New Regulatory Scrutiny
September 6, 2024Publications
Bad Facts Create Good Law on Negligence Standard for Investment Advisers Investment Advisers Association
July 26, 2024Client Alert
SEC Staff Issues Observations on Adviser Marketing Rule Examinations
April 23, 2024Client Alert
SEC Settles First Off-Channel Communications Enforcement Action with Standalone Investment Adviser
April 10, 2024Publications
SPAC Rules Have Broad Implications for Investment Company Status Determinations of All Companies
February 21, 2024 – Bloomberg LawClient Alert
SEC Proposes New Rule Addressing Investment Adviser Safeguarding of Client Assets
March 27, 2023Client Alert
ESG Continues To Be Under Fire by SEC
December 1, 2022Client Alert
SEC Spotlight on Robo-Advisers: Exam Staff Observations
November 16, 2021
