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Lead Article: SEC's Novel Insider Trading Theory Casts Long Shadow | Quinn Emanuel Urquhart & Sullivan, LLP

The U.S. Securities and Exchange Commission (“SEC” or “Commission”) is advancing a novel insider trading theory known as “shadow trading.” See Mihir N. Mehta, David M. Reeb, and Wanli. ....

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Widening the Aperture Beyond Retail-Focused Advisers | King & Spalding

SEC Enforcement and Exams Likely to Focus More on Private Funds in the New Administration
For the next several weeks and months, intense focus will be trained on determining the priorities of the Biden administration. We believe that at the Securities and Exchange Commission (“SEC”), the new administration will ramp up examinations and investigations of investment advisers, and specifically advisers to private funds.
The industry has certainly been in growth mode. By the SEC’s own calculations, the number of private funds increased by nearly one third during the past four years (from 26,840 funds in the first quarter of 2016 to 34,858 in the first quarter of 2020), and the aggregate net asset value increased likewise (from $6.9 trillion in the first quarter of 2016 to $9.5 trillion in the first quarter of 2020). ....

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