SEC/SRO Update

March 31, 2016

SEC/SRO Update: SEC Brings First Case Under Dodd-Frank Provision Creating Fiduciary Duty For Municipal Advisors; SEC Announces Charges Against Unregistered Fund Manager Accused Of Hiding Criminal Past; SEC Announces Charges Against Unregistered Broker And Collection Of $11 Million From Broker; SEC Creates Office Of Risk And Strategy For Its National Exam Program

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About Davis Graham & Stubbs LLP

Davis Graham & Stubbs LLP, one of the Rocky Mountain region’s preeminent law firms, serves clients nationally and internationally, with a strong focus on corporate finance and governance, mergers and acquisitions, natural resources, environmental law, real estate, and complex litigation. Our lawyers have extensive experience working with companies in the energy, mining, technology, hospitality, private equity, manufacturing, asset management, aviation, and health care industries. As the exclusive member firm in Colorado for Lex Mundi, the world’s leading network of independent law firms, DGS has access to in-depth experience in 100+ countries worldwide.

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