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Searching Content indexed under Securities by Ropes & Gray LLP ordered by Published Date Descending.
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1
SEC Proposes Amendments To Modernize Disclosures Of Business, Legal Proceedings And Risk Factors
On August 8, 2019, as part of its Disclosure Effectiveness effort, the SEC proposed amendments to three discrete Regulation S-K items – business description
United States
15 Aug 2019
2
Ropes & Gray's Investment Management Update – June-July 2019
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
United States
15 Aug 2019
3
OFAC Continues To Demonstrate Greater Interest In Cryptocurrency Regulation And Enforcement
With the widespread arrival of Initial Coin Offerings ("ICOs") over the last several years,1 U.S. authorities have made deliberate progress toward keeping pace with the fast-growing crypto industry.
United States
13 Aug 2019
4
FTC Imposes Record-Setting $5 Billion Penalty To Resolve Allegations That Facebook Violated User Data Privacy
On July 24, 2019, the Federal Trade Commission ("FTC") announced that Facebook, Inc. ("Facebook" or the "Company") would pay a record-setting penalty in the amount of $5 billion
United States
8 Aug 2019
5
Upcoming Deadline For Form SHL – Foreign Ownership Of US Securities
A "U.S. security" is a security issued by a U.S. resident. A U.S. security can be issued in any country, denominated in any currency and traded on any exchange and such factors are not relevant in determining whether the security is a "U.S. security.
United States
30 Jul 2019
6
Podcast: Private Fund Regulatory Update – Network And Cloud Storage
Also, they or their private funds may instead have obligations under other similar regulations.
United States
25 Jul 2019
7
SEC Adopts Rule Change To Address Funds' Auditor Independence Problem
In a June 18, 2019 release (the "Release"), the SEC adopted amendments to the "Loan Rule" (as defined below), a part of the SEC's auditor independence rule, Rule 2-01 of Regulation S-X.
United States
18 Jul 2019
8
SEC Issues Concept Release On Harmonization Of Securities Offering Exemptions: Potential Opportunities For Both Private Funds And Registered Funds
On June 18, 2019, the SEC published its Concept Release on Harmonization of Securities Offering Exemptions (the "Release")
United States
10 Jul 2019
9
SEC Adopts Regulation Best Interest And Issues Interpretive Release On The "Solely Incidental" Exclusion
On June 5, 2019, the SEC adopted two rules and published two interpretations "designed to enhance the quality and transparency of retail investors' relationships with investment advisers and broker-dealers."
United States
27 Jun 2019
10
SEC Adopts Form CRS (Client Relationship Summary) For Advisers And Broker-Dealers
On a June 5, 2019, the SEC adopted Form CRS ("relationship summary"), along with new and amended rules and forms, to improve retail investors' understanding of the different investment-related
United States
27 Jun 2019
11
IOSCO Report Underlines Cyber-Risk Standards For Financial Services Firms
Reflecting its ever-increasing importance on regulators' lists of priorities, the Board of International Organization of Securities Commissions ("IOSCO")...
United States
27 Jun 2019
12
SEC Releases Final Interpretation On Adviser Conduct Standard And Fiduciary Duty
On June 5, 2019, the SEC held an open meeting and issued a long-awaited final interpretation entitled "Commission Interpretation Regarding Standard of Conduct for Investment Advisers"
United States
24 Jun 2019
13
Ropes & Gray's Investment Management Update – April-May 2019
The following summarizes recent legal developments of note affecting the registered fund/investment management industry
United States
11 Jun 2019
14
A Fresh Look At Exclusive Forum Provisions
One common feature of large M&A transactions is the almost inevitable stockholder litigation challenging the transaction.
United States
11 Jun 2019
15
Podcast: Ropes & Gray's PEP Talk: General Solicitation By Private Equity Funds Under 506(c)
This new Ropes & Gray podcast series, The PEP Talk, Ropes & Gray's Private Equity Podcast, focuses on legal issues of interest to the private equity industry.
United States
6 Jun 2019
16
Robare V. SEC: The D.C. Circuit "May" Have Punted On Key Disclosure Question, But Takes Clear Stand On "Willful" Conduct
On April 30, 2019, the U.S. Court of Appeals for the D.C. Circuit issued a long-awaited decision in Robare Group, LTD. v. SEC, providing valuable insight for investment ...
United States
29 May 2019
17
Converting Traditional Open-End Funds into ETFs
The Securities and Exchange Commission (the "SEC") recently published a notice relating to an application for exemptive relief filed by Precidian
United States
27 May 2019
18
Concerns About Pay-To-Play Violations Amplify As 2020 Giving Ramps Up
As the 2020 Democratic presidential primary election field develops and new candidates join the race, more and more individuals are donating to their presidential candidates of choice.
United States
15 May 2019
19
Justices Could Trigger Sea Change For Tender Offer Suits
On April 15, 2019, the U.S. Supreme Court heard oral argument in Emulex Corp. v. Varjabedian.
United States
8 May 2019
20
Podcast: Credit Funds: 1940 Act Interval Funds
Agreed Dave – interval funds are definitely a vehicle worth exploring.
United States
3 May 2019
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