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HTMLSEC Charges Insiders for Violations of Section 16(a) and Section 13
Annette De La Torre, Peter D. Fetzer, Mark T. Plichta; Foley & Lardner LLP;
Legal Alert/Article
September 23, 2014, previously published on September 16, 2014
On September 10, 2014, the Securities and Exchange Commission announced charges against 28 officers, directors, and major shareholders for violating federal securities laws requiring them to report information about their holdings and transactions in company stock as required pursuant to Sections...

 

HTMLImproving Prospectus Disclosure
Peter D. Fetzer, Jason M. Hille, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
September 2, 2014, previously published on August 29, 2014
The staff of the SEC’s Division of Investment Management issued guidance urging mutual funds to be more succinct, avoid technical language and use plain English in the Summary Section of fund prospectuses.

 

HTMLAlternative Investment Strategies
Peter D. Fetzer, Jason M. Hille, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
September 2, 2014, previously published on August 29, 2014
Funds that use alternative investment strategies should be aware of the SEC focus on their use in mutual funds and should evaluate their policies and procedures regarding, among other things, asset segregation and liquidity determination. Additional information regarding SEC statements on...

 

HTMLSEC Proposes Extension of Principal Trade Rule for Registered Advisers/Broker-Dealers
Peter D. Fetzer, Jason M. Hille, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
September 2, 2014, previously published on August 29, 2014
The SEC has proposed extending to December 31, 2016, the sunset date for the expiration of Rule 206(3)-3T (the “Rule”) under the Investment Advisers Act of 1940 (the “Advisers Act”). The Rule allows SEC-registered investment advisers who are also SEC-registered...

 

HTML“Pay-to-Play” for Investment Advisers: The SEC’s First Prosecution
Peter D. Fetzer, Jason M. Hille, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
September 2, 2014, previously published on August 29, 2014
On June 20, 2014, the Securities and Exchange Commission (“SEC”) brought and settled its first case under the “pay-to-play” rules for investment advisers. The SEC charged TL Ventures Inc. with violating the “pay-to-play” rules by continuing to receive advisory...

 

HTMLAnother Conflict of Interest Enforcement Action Taken by the SEC Against a Registered Adviser
Peter D. Fetzer, Jason M. Hille, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
September 2, 2014, previously published on August 29, 2014
The president of a registered investment advisory firm, Jason D. Huntley, agreed to, among other things, a five-year bar from association with any investment adviser, broker, dealer, municipal securities dealer or transfer agent, for violations of the “anti-fraud” provisions under the...

 

HTMLPersons Registered as Municipal Advisers Face SEC Examination Program
Peter D. Fetzer, Jason M. Hille, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
September 2, 2014, previously published on August 29, 2014
The SEC recently announced that its Office of Compliance Inspections and Examinations (“OCIE”) will shortly commence an examination program of registered municipal advisers. The examination program will be phased in over the next few years. The focus of the examinations will be certain...

 

HTMLMisusing Client Assets Results in Sanctions Against a Registered Investment Adviser
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
August 4, 2014, previously published on July 31, 2014
The owner of a Washington state-based investment advisory firm was recently sanctioned by the SEC for multiple violations of the Investment Advisers Act of 1940, including the fraudulent use of client assets for his own personal use.

 

HTMLWill SEC Stick to Its Guns on Reg. A Plus Regulatory Authority?
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
August 4, 2014, previously published on July 31, 2014
The Jumpstart Our Business Startups Act (the “JOBS Act”) directed the SEC to come up with regulations to help revitalize the Regulation A registration exemption under the Securities Act of 1933 to allow offerings of up to $50 million (up from the current exemption limit of $5 million)...

 

HTMLOCIE Director Repeats Concerns About Compliance Issues Found During Private Equity Adviser Exams
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
August 4, 2014, previously published on July 31, 2014
Andrew J. Bowden, Director of the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) once again in a recent speech to industry representatives, described various areas of concern found by OCIE examiners during examinations of private equity advisers.

 


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