Court Strikes Down SEC Dealer Rule: SEC Roundup
By Nicolas Morgan and Tom ZaccaroThe rule expanded the definition of "dealer" so that many private fund advisors would have had to register.
July 05, 2024
Supreme Court Ruling Ensures Juries in Many SEC Cases: SEC RoundupWith the Jarkesy opinion, the agency may no longer pursue such claims through in-house enforcement proceedings.
June 24, 2024
Eye-Watering Texting Fines Need Transparency: SEC RoundupThe American Securities Association's CEO talks about why the group is suing the SEC.
June 14, 2024
Court Adopts SEC's Expansive View of 'Dealer': SEC RoundupSEC's rationale threatens to ensnare unsuspecting private funds, family offices and private investment in public equity (PIPE) investors.
May 24, 2024
Will This Crypto Requirement Be Killed? — SEC RoundupCongress voted to repeal an accounting requirement that crypto assets be reported as liabilities. Will Biden approve?
May 02, 2024
Beware of Double Jeopardy in SEC Proceedings: SEC RoundupAfter federal court litigation, the SEC may seek to bar you for the same conduct.
March 29, 2024
Court Tackles SEC Authority to Regulate Private Funds: SEC RoundupThe judges seemed interested in saving some of the rules even if they vacate others, IAA's Bernstein relays.
February 23, 2024
New SEC Dealer Rule Will Hit Private Funds: SEC RoundupAIMA's Suzan Rose says the rule expands BD registration to entities not traditionally considered as such.