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Searching Content indexed under Securities by Ropes & Gray LLP ordered by Published Date Descending.
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1
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
2
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
3
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
4
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
5
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
6
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
7
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
8
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
9
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
10
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
11
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
12
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
13
Podcast: Credit Funds: 1940 Act Interval Funds
Agreed Dave – interval funds are definitely a vehicle worth exploring.
United States
3 May 2019
14
SEC Proposes Extending Securities Offering Reforms To Closed-End Funds And Business Development Companies
On March 20, 2019, the SEC issued a release containing proposals intended to streamline the registration, communications and offering practices for business development companies
United States
1 May 2019
15
Ropes & Gray's Investment Management Update – February – March 2019
The following summarizes recent legal developments of note affecting the registered fund/investment ...
United States
29 Apr 2019
16
2019 Mutual Funds And Investment Management Conference
Susan M. Olson, General Counsel, Investment Company Institute Ms. Olson noted the wide range of regulatory initiatives during 2018 and so far in 2019 that will impact registered funds and their service providers and shareholders.
United States
17 Apr 2019
17
SEC Scrutinizes Sale Of Mortgage Interests Among Affiliated Funds
The sale of mortgage assets between investment vehicles managed by the same adviser has come under scrutiny by the Securities and Exchange Commission ("SEC").
United States
15 Apr 2019
18
Supreme Court Expands Scope Of Liability For Securities Fraud
On March 27, 2019, the U.S. Supreme Court issued a 6-2 decision in Lorenzo v. SEC holding that an individual who is not a "maker" of a misstatement under Janus v. First Derivative Traders,
United States
11 Apr 2019
19
SEC Adopts Amendments To Modernize And Simplify Regulation S-K
On March 20, 2019, the SEC adopted amendments to modernize and simplify certain disclosure requirements in Regulation S-K. A majority of the amendments ...
United States
9 Apr 2019
20
Catnip For Whistleblowers: The Status Of SOX Whistleblower Protections In FCPA Cases
A recent decision in the 9th Circuit limits the Sarbanes-Oxley whistleblower protections available to former employees who face retaliation for blowing the whistle in FCPA cases ...
United States
8 Apr 2019
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