September 22, 2023 SEC Settles Charges with Nine Advisers in Marketing Rule Sweep September 20, 2023 Seward & Kissel releases second edition of SPV Snapshot Report September 20, 2023 SEC Files a Civil Complaint Against a Broker-Dealer for False and Misleading Disclosures Relating to Information Barriers September 20, 2023 Herding a Bunch of Stoned Cats September 20, 2023 FTC and DOJ Propose Sweeping Changes to HSR Requirements September 18, 2023 Employment Litigation Roundup: September 2023 September 18, 2023 Compliance Dates for Final Rules Regarding the Regulation of Private Fund Advisers September 13, 2023 SEC Issues a Risk Alert Providing Details on the Investment Adviser Examination Process September 11, 2023 SEC Charges FinTech Investment Adviser with First Violation of the Marketing Rule and Additional Compliance Violations September 6, 2023 Seward & Kissel releases third edition of SMA Snapshot Report September 5, 2023 NFT Issuer Gives SEC Easy Layup for First NFT Enforcement Action August 31, 2023 “Pursuant to Agreement” Mortgage under the Marshall Islands Maritime Act August 30, 2023 Two Sides of the Same Coin: The Direct Relationship Between Valuation and Dilution in Pricing Venture and Growth Equity Deals August 29, 2023 Marshall Islands Maritime Act Amended August 25, 2023 The SEC Adopts Final Rules Regarding the Regulation of Private Fund Advisers Load more