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Foley & Lardner LLP Boston, MA Document Search Results (19) Show: results per page Sort by:  | Regulation A Offerings
Peter D. Fetzer, Terry D. Nelson, A. Michael Primo; Foley & Lardner LLP;
Legal Alert/Article May 4, 2012, previously published on April 2012 Securities cannot be offered in an interstate offering unless the securities are registered with the SEC or an exemption from such registration is available. The SEC is authorized to exempt securities from registration where it finds that registration “is not necessary in the public interest...
| | Complying With the Cookie Directive for Email Communications
Peter F. McLaughlin; Foley & Lardner LLP;
Legal Alert/Article May 4, 2012, previously published on May 1, 2012 The Cookie Directive has caused a great deal of concern among firms with a web presence in Europe. However, across the European Union governments have gradually adopted either legislation or regulatory enforcement stances that are based on an opt out approach - that is prior explicit consent for...
| | Legislation Introduced to Create SRO for IAs
Peter D. Fetzer, Terry D. Nelson, A. Michael Primo; Foley & Lardner LLP;
Legal Alert/Article May 4, 2012, previously published on April 2012 Spencer Backus (R-AL) introduced legislation this past week to create a self-regulatory organization (SRO) for “retail” investment advisers with at least $100 million of assets under management.
| | The JOBS Act; Rule 506 Accredited Investor Only Offerings Likely to Be Even More Popular
Peter D. Fetzer, Terry D. Nelson, A. Michael Primo; Foley & Lardner LLP;
Legal Alert/Article May 4, 2012, previously published on April 2012 The Jumpstart Our Business Startups Act (JOBS Act) signed into law by President Obama on April 5, 2012, includes the removal of the general solicitation and general advertising prohibitions for securities offerings conducted under Rule 506 of Regulation D under the Securities Act of 1933 if the...
| | In Light of Recent SEC Guidance, Investment Advisers Should Evaluate and Update Their Social Media Policies
Peter D. Fetzer, Terry D. Nelson, A. Michael (Michael) Primo; Foley & Lardner LLP;
Legal Alert/Article February 2, 2012, previously published on January 30, 2012 The SEC recently issued a National Examination Risk Alert on Investment Adviser Use of Social Media, in which it makes clear that the use of social media by investment advisers is on its radar. “Social media,” for this purpose, includes blogs, wikis, and podcasts, as well as social...
| | Insider Trading Scheme by Hedge Fund Managers and Analysts Subject of Recent Charges by SEC
Peter D. Fetzer, Terry D. Nelson, A. Michael (Michael) Primo; Foley & Lardner LLP;
Legal Alert/Article February 2, 2012, previously published on January 30, 2012 On January 18, 2012, the SEC, in connection with an alleged $78 million insider trading scheme, charged two large hedge fund investment advisory firms and several fund managers and analysts with violations of fraud in federal court. In addition, the U.S. Attorney for the Southern District of New...
| | Recent SEC Enforcement Action Underscores Investment Adviser Responsibility for Fair Valuing Portfolio Securities of Mutual Funds It Advises
Peter D. Fetzer, Terry D. Nelson, A. Michael (Michael) Primo; Foley & Lardner LLP;
Legal Alert/Article February 2, 2012, previously published on January 30, 2012 A recent SEC enforcement action against an investment adviser to mutual funds highlights the adviser's responsibility for fair valuing the funds' portfolio securities. The enforcement action makes it clear that one of the core delegated responsibilities of an investment adviser, on behalf of mutual...
| | Proposed FINRA Rule 4516: Readily Identifiable and Accessible Records
Peter D. Fetzer, Terry D. Nelson, A. Michael (Michael) Primo; Foley & Lardner LLP;
Legal Alert/Article December 30, 2011, previously published on December 29, 2011 In light of Lehman Brothers Inc.'s 2008 bankruptcy and its regulators' “inability to locate certain documents and information” in connection with Lehman's liquidation, the Financial Industry Regulatory Authority (FINRA) recently proposed Rule 4516, which requires carrying and clearing...
| | SEC Adopts Revised “Net Worth” Standard for Accredited Investors
Peter D. Fetzer, Terry D. Nelson, A. Michael (Michael) Primo; Foley & Lardner LLP;
Legal Alert/Article December 29, 2011, previously published on December 29, 2011 On December 21, 2011, the SEC finalized its amendments to the individual accredited investor net worth standards under Regulation D of the Securities Act of 1933. Issuers that conduct private offerings of securities under an exemption from securities registration usually rely on the exemption found...
| | SEC Takes Action Against Registered Advisers
Peter D. Fetzer, Terry D. Nelson, A. Michael (Michael) Primo; Foley & Lardner LLP;
Legal Alert/Article December 29, 2011, previously published on December 29, 2011 Recent actions by the SEC against certain registered investment advisers demonstrates the SEC's increased efforts to “crack down” on those advisors who repeatedly fail to remedy compliance deficiencies. Legal News: Investment Management Update frequently reports enforcement actions by...
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