Search Results for:
Foley Lardner Llp
(158)
ARTICLES(158)
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Altering a Document Results in SEC Enforcement Action Against RIA Compliance Officer
- November 12, 2014
- LEGAL ALERTS/ARTICLES
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Assets Under Management by Registered Investment Advisers Have Increased Substantially
- November 12, 2014
- LEGAL ALERTS/ARTICLES
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EPA Advocacy Can Add Value to a Manufacturer’s Bottom Line
- November 12, 2014
- LEGAL ALERTS/ARTICLES
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Excessive Fee Case Withstands Dismissal
- November 12, 2014
- LEGAL ALERTS/ARTICLES
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Repeated Custody Rule Violations Leads to SEC Enforcement Action
- November 12, 2014
- LEGAL ALERTS/ARTICLES
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SEC’s Continued Concern Over Alternative Mutual Funds
- November 12, 2014
- LEGAL ALERTS/ARTICLES
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Will “Accredited Investor” Definition Be Changed?
- November 12, 2014
- LEGAL ALERTS/ARTICLES
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Governor Vetoes Proposed Changes to California Franchise Law
- October 28, 2014
- LEGAL ALERTS/ARTICLES
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We Need a Smarter, Greener Grid, But How?
- October 28, 2014
- LEGAL ALERTS/ARTICLES
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Adviser’s Non Compliance With SEC Subpoena Settled by Court
- October 03, 2014
- LEGAL ALERTS/ARTICLES
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Cost of Proposed User Fees by Registered Investment Advisers Further Discussed
- October 03, 2014
- LEGAL ALERTS/ARTICLES
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Failure to Disclose Conflict of Interest to Clients Results in SEC Enforcement Proceeding Against Registered Investment Adviser
- October 03, 2014
- LEGAL ALERTS/ARTICLES
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SEC Valuation Guidance for All Funds
- October 03, 2014
- LEGAL ALERTS/ARTICLES
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Update on Insider Trading in Mutual Fund Shares
- October 03, 2014
- LEGAL ALERTS/ARTICLES
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7th Circuit Confirms That "Sorry for Partying" Is Fair Use; Questions Transformative Use Test
- September 23, 2014
- LEGAL ALERTS/ARTICLES
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Alternative Investment Strategies
- September 02, 2014
- LEGAL ALERTS/ARTICLES
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Another Conflict of Interest Enforcement Action Taken by the SEC Against a Registered Adviser
- September 02, 2014
- LEGAL ALERTS/ARTICLES
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Improving Prospectus Disclosure
- September 02, 2014
- LEGAL ALERTS/ARTICLES
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Persons Registered as Municipal Advisers Face SEC Examination Program
- September 02, 2014
- LEGAL ALERTS/ARTICLES
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SEC Proposes Extension of Principal Trade Rule for Registered Advisers/Broker-Dealers
- September 02, 2014
- LEGAL ALERTS/ARTICLES
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“Pay-to-Play” for Investment Advisers: The SEC’s First Prosecution
- September 02, 2014
- LEGAL ALERTS/ARTICLES
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California About to Make Franchise Terminations Harder
- September 01, 2014
- LEGAL ALERTS/ARTICLES
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7th Cir. Confirms Protections for Sealing Parties' Confidential Documents
- August 29, 2014
- LEGAL ALERTS/ARTICLES
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The "Equal Pay Report" - Yet Another New Regulation Requiring Compliance by Federal Contractors
- August 28, 2014
- LEGAL ALERTS/ARTICLES
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Federal Contractors May Lose Contracts Because of Labor and Employment Law Violations
- August 12, 2014
- LEGAL ALERTS/ARTICLES
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Avoiding Fines by Starting the I-9 Process Early. Just Not Too Early...
- August 06, 2014
- LEGAL ALERTS/ARTICLES
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Misusing Client Assets Results in Sanctions Against a Registered Investment Adviser
- August 04, 2014
- LEGAL ALERTS/ARTICLES
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Mutual Funds and Advisers Should Evaluate Oversight of Proxy Advisory Firms
- August 04, 2014
- LEGAL ALERTS/ARTICLES
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OCIE Director Repeats Concerns About Compliance Issues Found During Private Equity Adviser Exams
- August 04, 2014
- LEGAL ALERTS/ARTICLES
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Will SEC Stick to Its Guns on Reg. A Plus Regulatory Authority?
- August 04, 2014
- LEGAL ALERTS/ARTICLES