With the massive explosion in interest in the use of non-fungible tokens (“NFTs”), purveyors are always looking for new avenues and areas to utilize NFTs. NFTs are being integrated into many different facets of commerce. Nonetheless, it is important to
The United States Securities and Exchange Commission issued a rule proposal that would enact new climate-related disclosure requirements on public companies, requiring disclosure of greenhouse gas emissions and the business risks of severe weather events as well as issues relating
We wanted everyone to see the recent alert published by Kimberly L. Kwan and Joshua Ashby, concerning the SEC and Crowdfunding Portals. SEC Expects Crowdfunding Portals to be ‘Gatekeepers,’ Not Ignore Red Flags (foxrothschild.com)
On February 4, 2022, the United States Treasury Department released a report that indicated non-fungible tokens (“NFTs”), currently, one of the trendiest cryptocurrency structures, may become a new avenue for money launderers and other nefarious ne’er do wells. Study of
The U.S. Securities and Exchange Commission (“SEC” and “Commission”) proposed new rules to increase hedge fund and private equity fund disclosures to increase oversight of the industry and to monitor systemic risks.
The proposal would require certain advisors to hedge
Please see the attached link for our SEC investigation and litigation discussion webinar and please join us for our next webinar on securities litigation:
Did you miss the first installment of our Securities Sit-Down webinar series, which focused on SEC Investigations and Litigation?
Well, it isn’t too late. You can review a recording of the presentation by Ernest Badway and Patrick Egan here.
The SEC adjusted the definition of “qualified clients,” becoming effective on August 16, 2021, pursuant to the Dodd-Frank Act of 2010, requiring such an adjustment for inflation every five years. Investment Advisers Act of 1940 Section 205(a)(1) prohibits an RIA
I never find it boring to review the investment adviser exemptions for private fund managers. Apparently, I am not the only one since this is a question we frequently field.
Initially, private fund manager investment advisers, who are primarily regulated
On December 17, 2020, SEC created the Division of Examinations by renaming the now defunct, Office of Compliance Inspections and Examinations, making it the SEC’s 6th Division joining Enforcement, Corporation Finance, Trading and Markets, Investment Management, and Economic and Risk