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SEC/SRO Update April 2024

SEC/SRO Update: SEC Charges Lordstown Motors With Misleading Disclosures; Delaware Court Calls Common Merger Practice Into Question; SEC Updates Ethics...

Q1 2024 Asset Management Regulatory Update

Table of Contents SEC Adopts Amendments to Enhance Private Fund Reporting SEC Charges Registered Investment Adviser for Failing to Disclose...

Q4 2023 Asset Management Regulatory Update

Table of Contents: Securities and Exchange Commission Division of Examinations Announces 2024 Priorities SEC Adopts Rule to Increase Transparency into...

Q3 2023 Asset Management Regulatory Update

Table of Contents: SEC Adopts Final Private Fund Adviser Rules SEC Adopts Final Amendments to the Investment Company Names Rule...

SEC/SRO Update August 2023

SEC/SRO Update: SEC Adopts Amendments to Enhance Private Fund Reporting; SEC Brings Fraud Charges Against Trump-Related SPAC; SEC Charges Operator...

Q2 2023 Asset Management Regulatory Update

Table of Contents: SEC Adopts Amendments to Enhance Private Fund Reporting SEC Charges Investment Adviser and Fund Trustees with Liquidity...

Q1 2023 Asset Management Regulatory Update

Table of Contents Divison of Examinations Releases 2023 Examination Priorities Division of Examinations Release Observations from Examinations of Newly-Registered Advisers...

SEC Update April 2023

SEC/SRO Update: SEC Brings Enforcement Action For Undisclosed CEO Perks; DOJ And SEC Charge Executive With Insider Trading And Misuse...

USFWS Delays Threatened and Endangered Statuses of Lesser Prairie-Chicken and Northern Long-Eared Bat

This week, the U.S. Fish and Wildlife Service (“USFWS”) extended the effective dates of its decisions to list populations of...

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