Form ADV: Investment Adviser Registration and Ongoing Reporting Obligations under the Advisers Act
Spring is a busy time for investment advisers because they are required to submit their…
Browsing: Securities Regulation
Changes Coming to Rule 10b5-1
The Securities Act of 1933 (“Securities Act”) strives to allow properly informed investors to safely…
Cryptocurrency ICO Issuers on Notice After SEC Seminal DAO Report
In 2018, the Securities and Exchange Commission (“SEC”) significantly cracked down on unregistered Initial Coin…
Amending Section 36(b) of the 1940 Act: Creating Too High of a Standard?
1. What is Section 36(b)? Mutual funds have long been an important vehicle for individuals…
SEC – Don’t Throw Away Your Shot! A Renewed Call for a Uniform Fiduciary Standard to Protect Individual Investors
On November 10, 2016 Fordham University’s School of Law’s Corporate Law Center, in partnership with…
Symposium Panel: Are We Ready for the Next Financial Crisis
On October 30, 2015, Richard Squire of Fordham University School of Law, Eric Grossman…
S.E.C. Tells High Frequency Trading Firm Athena “Not So Fast!”
On Oct 16, 2014 the Securities and Exchange Commission (“SEC”) settled with Athena Capital Research…
Alibaba and the Minimal Impact of the Largest IPO Ever
On Friday, September 19, people from Beijing to New York could be seen celebrating…
Second Circuit to Shed Light on Personal Benefit Requirement for Tippee Liability
Anthony Chiasson’s infamous insider trading case has shed much light on the inequity underlying the…
Escaping Secondary Liability: the Ever-Increasing Scope of SLUSA
Just imagine: in a split second, your hard-earned lifesavings, and the financial security that accompanied…