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April 18, 2024
SEC Releases Materials on T+1 Settlement Cycle Adoption in Advance of May Compliance Date
April 4, 2024
SEC Settles Charges with Advisers for Marketing Rule Violations Related to AI Washing
March 28, 2024
SEC Staff Denies Closed-End Fund’s No-Action Request Seeking to Exclude Shareholder Proposal to Declassify Board
March 4, 2024
SEC Settles Charges with Adviser for Failing to Disclose Influencer’s Role in Promoting ETF
January 25, 2023
SEC Settles Charges Against Firm for Disclosing MNPI on Block Trades
January 22, 2024
Seward & Kissel attorneys co-authored a chapter for the ICLG – ESG Law 2024 titled, “U.S. Legal and Compliance Issues Relating to ESG for Private Fund Advisers”
January 5, 2023
SEC Settles Charges Against Private-Equity Firm for Alleged Disclosure Policy Failures
January 3, 2023
The ‘40 Act Blog Top 10 of 2023
January 2, 2024
FinCEN’s New Rule on Beneficial Ownership Information Reporting Requirements: Application to Investment Advisers and Related Entities
December 21, 2023
SEC Releases Staff Report on Definition of Accredited Investor
November 29, 2023
SEC Announces Robust Fiscal Year 2023 Enforcement Results
November 8, 2023
SEC Adopts Gross Short Position and Activity Reporting by Institutional Investment Managers
November 6, 2023
SEC Staff Grants No-Action Relief Under Section 17 and Rule 17d-1 Thereunder Allowing Fund to Enter Transaction Agreement with New Adviser
October 26, 2023
SEC Division of Examinations Releases its 2024 Examination Priorities
October 17, 2023
SEC Adopts Amendments to Beneficial Ownership Reporting Rules
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