SEC Files Record Number of Enforcement Actions Against Investment Advisers
Investment Advisers, Litigation The SEC filed 147 enforcement actions in 2012 against investment advisers and investment companies, one more than the previous year’s record number. The actions resulted from several risk-based, proactive measures that identify threats at an early stage so that early action to halt the misconduct can be initiated and investor harm minimized. In 2012, several [...] Read more →
SEC Gives Notice of Intent to Cancel Numerous Investment Adviser Registrations
Investment Advisers, Private Equity The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) which, among other things, amended certain provisions of the Investment Advisers Act. These... Read more →
SEC Proposes Rules for Security-Based Swap Dealers and Major Security-Based Swap Participants
Derivatives, Uncategorized The Securities and Exchange Commission has proposed rules regarding capital, margin, and segregation requirements for security-based swap dealers and major security-based swap... Read more →
New Disclosure Requirements for Resource Extraction Issuers
Energy, Public Companies and Securities, Uncategorized The SEC recently adopted final rules under the Dodd-Frank Act that require issuers to disclose payments made to governments if: The issuer is required to file an annual report... Read more →