Client Alert
SEC Prunes Use of Hedge Clauses
September 12, 2024Client Alert
As Regulation Best Interest Enforcement Cases Accelerate, It’s Time to Shift Strategy
September 9, 2024Client Alert
FinCEN Finalizes AML/CFT Rule: 6 Takeaways for Investment Advisers Facing New Regulatory Scrutiny
September 6, 2024Client Alert
IRS Issues Final SECURE Act Regulations on Required Minimum Distributions
August 21, 2024Publications
Courts Halt U.S. DOL Fiduciary Rulemaking Package
August 14, 2024Publications
DOJ’s Whistleblower Pilot Program Pays Employees to Report Misconduct
August 13, 2024Pay-to-Play Update: Walz-ing into Political Contributions
August 12, 2024Publications
Bad Facts Create Good Law on Negligence Standard for Investment Advisers Investment Advisers Association
July 26, 2024Client Alert
Fifth Circuit Sends DOL’s ESG Rule Back to District Court
July 24, 2024Client Alert
Supreme Court Ruling Facilitates Challenges to Administrative Rules
July 16, 2024Client Alert
With Great Power Comes Great Responsibility: FINRA Underscores Regulatory Implications of Using AI
July 16, 2024Client Alert
Proxy Voting Advice Rule: Fifth Circuit Sends SEC Back to the Drawing Board
July 3, 2024Client Alert
Supreme Court Limits SEC’s Home Field Advantage
July 3, 2024Client Alert
Supreme Court Halts 40 Years of Deference to Administrative Agencies
July 2, 2024Client Alert
Supreme Court Sides with IRS in Stock Redemption Agreement Case
June 14, 2024Client Alert
As Summer Approaches, Fifth Circuit Sends Private Funds Rule on Vacation
June 12, 2024Client Alert
Take Notice: SEC Adopts New Requirements Under Regulation S-P
May 31, 2024Publications
Defined Contribution Retirement Plans: Chatting with Josh Anderson
May 23, 2024 – Employee Benefit Plan ReviewClient Alert
Your ID, Please: An Investment Adviser’s Guide to the Proposed Customer Identification Program
May 23, 2024Client Alert
CFTC Staff Permits Registered CPO to Treat Certain Employees as Qualified Eligible Persons
May 20, 2024Client Alert
Going to the Shore? Don’t Get ‘Tide’ Down with Legal Troubles
May 16, 2024Client Alert
Proposed Amendments to the Delaware General Corporation Law: A Response to Moelis and Activision
May 8, 2024Publications
Employee Stock Purchase Plans
May 7, 2024 – Employee Benefit Plan ReviewClient Alert
DOL Issued Final Amendments to the QPAM Exemption. What Do You Need to Know?
May 1, 2024Publications
Why Your Best Move in Arbitration May Be to Use a Chess Clock
April 26, 2024 – The Legal IntelligencerClient Alert
SEC Staff Issues Observations on Adviser Marketing Rule Examinations
April 23, 2024Client Alert
The Impact of Artificial Intelligence on Federal Criminal Cases
April 17, 2024Publications
To Improve Law Firm Culture, Let Authenticity Fly
April 17, 2024 – The Legal IntelligencerClient Alert
SEC Settles First Off-Channel Communications Enforcement Action with Standalone Investment Adviser
April 10, 2024Client Alert
Narrowing the Gap: The SEC Limits Advisers’ Internet Exemption
April 3, 2024
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