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HTMLUS Securities and Exchange Commission Settles Its First Whistleblower Anti-Retaliation Case
Marcus Christian, Adam D. Kanter, Stephanie M. Monaco, Jerome J. Roche, Richard M. Rosenfeld; Mayer Brown LLP;
Legal Alert/Article
July 4, 2014, previously published on June 27, 2014
The US Securities and Exchange Commission (SEC or the Commission) has announced a $2.2 million settlement in the Commission’s first whistleblower anti-retaliation case. As part of the settlement order, the SEC charged Paradigm Capital Management, Inc., a registered investment adviser, and...

 

Adobe PDFCapital Commitment Subscription Facilities and the Proposed Liquidity Coverage Ratio
Kiel A. Bowen, J. Paul Forrester, Carol A. Hitselberger, Adam D. Kanter, Michael C. Mascia; Mayer Brown LLP;
Legal Alert/Article
January 2, 2014, previously published on December 20, 2013
On November 29, 2013, the Board of Governors of the Federal Reserve System (FRB), the Office of the Comptroller of the Currency (OCC) and the Federal Deposit Insurance Corporation (FDIC, and collectively, the Agencies) published in the Federal Register a notice of proposed rule making (the Proposed...

 

HTMLForm ADV Updates: A Few Tips for Advisers Getting an Early Start
Adam D. Kanter, Elizabeth M. Knoblock; Mayer Brown LLP;
Legal Alert/Article
October 13, 2012, previously published on October 11, 2012
As we enter the fourth quarter of 2012, investment advisers registered with the US Securities and Exchange Commission (SEC) should begin thinking about the annual update to Form ADV Part 2 (the Brochure). An early start can be particularly helpful for advisers to private funds that may be in the...

 

Adobe PDFUS Securities and Exchange Commission Adopts Large-Trader Reporting System
Scott A. Anenberg, Marc R. Cohen, Adam D. Kanter, Jerome J. Roche, David R. Sahr; Mayer Brown LLP;
Legal Alert/Article
August 11, 2011, previously published on August 9, 2011
On July 26, 2011, the US Securities and Exchange Commission (SEC) voted unanimously to adopt Form 13H and Rule 13h-1 under the Securities Exchange Act of 1934 (Exchange Act). The formal adopting release was issued on July 27.1 Although Rule 13h-1 is technically effective on October 3, 2011, the...

 

Adobe PDFUS Securities and Exchange Commission Proposes New Reporting Rules for Advisers to Private Funds
Leslie S. Cruz, Adam D. Kanter, Elizabeth M. Knoblock, Stephanie M. Monaco, Amy Ward Pershkow; Mayer Brown LLP;
Legal Alert/Article
February 17, 2011, previously published on February 10, 2011
On January 25, 2011, the US Securities and Exchange Commission (SEC) and the US Commodity Futures Trading Commission (CFTC) jointly proposed rules that would require reporting by investment advisers to certain types of pooled investment vehicles on new Form PF (the “Proposal”). The...