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August 25, 2023
Earlier this summer, we wrote about both new and amended rules proposed by the Securities and Exchange Commission (“SEC”) under the Investment Advisers Act of 1940 (the “Advisers Act”)...
March 30, 2022
On February 9, 2022, more than a decade after the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 increased the Securities and Exchange Commission's (the "SEC") oversight of advisers...
March 29, 2022
On February 9, 2022, more than a decade after the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 increased the Securities and Exchange Commission’s (the “SEC”)...
February 25, 2022
Over a two week period at the end of January and beginning of February, the U.S. Securities and Exchange Commission (“SEC” or “Commission”) proposed new rules and rule amendments that...
February 24, 2022
The Securities and Exchange Commission’s (the “SEC”) escalating focus on investment advisor compliance is continuing into 2022. In 2021, the SEC brought 159 enforcement actions against...
February 17, 2022
The SEC recently released proposed private fund reforms. These rules and amendments are only proposed at this point and are subject to public review and comment.
May 10, 2021
shutterstock.com The U.S. District Court for the Eastern District of Pennsylvania reported the following activities in the suit brought by APT Systems Inc. and Apple Inc. on May 7. Notice Of Removal By Apple Inc. (filing Fee $ 402 Receipt Number 0313-15107522), Filed By Apple Inc.. (attachments: # 1 A To Notice Of Removal, # 2 Executed Calandra Declaration, # 3 Civil Cover Sheet, # 4 Designation Form, # 5 Designation Form)(boyle, Brian) Statement Rule 7.1 Statement By ...